Broker Misconduct

Broker Misconduct Attorney

Published on: May 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Does Your Financial Advisor Know Exactly What He Or She Is Selling? How Due Diligence Failures and Negligence Can Lead To Investor Losses. Our Broker Misconduct Attorney Can Help!

Often, people will hire a financial advisor because they want expert help making investments, managing their portfolios, keeping their assets safe, saving for retirement, or growing their money.

Stockbrokers are professionals who buy and sell stocks and securities for retail investors, accredited investors, wealthy investors, and institutional investors. In return, they are paid a commission or a fee.

Broker Fraud Loss Attorneys

Published on: April 28, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Former LPL Broker Derek Copeland? Our Broker Fraud Loss Attorneys Are Looking Into Allegations of Selling Way Involving $11M in Outside Investments

Shepherd Smith Edwards and Kantas Broker Fraud Loss Attorneys (investorlawyers.com) are looking into claims of investor losses involving barred LPL Financial stockbroker Derek Lee Copeland. According to the Financial Industry Regulatory Authority (FINRA), the former North Carolina financial advisor allegedly raised almost $11M through 74 transactions involving 19 securities without the knowledge of LPL.

This is an illegal practice known as selling away. He purportedly used unapproved channels when communicating with clients. The self-regulatory organization (SRO) barred Copeland in March 2025.

Broker Fraud Law Firm

Published on: April 16, 2025 | by Shepherd Smith Edwards & Kantas, LLP

For GK 7% Bond Investors Who Sustained Serious Losses, The Time To Act Is Now. Our Broker Fraud Law Firm Can Help You Assess Whether You Have Grounds For A Claim

If you are a GK 7% Bond investor, there is still time to explore your legal options and find out whether your broker should be held liable for your investment losses. Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to investigate the broker-dealers, including managing brokerage firm JCC Advisors, that marketed and sold these debt instruments to customers. Contact us today to request your free, initial case consultation.

What Are GK 7% Bonds?

Investment Broker Fraud

Published on: April 16, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Barred Morgan Stanley Broker Jesus Rodriguez Gets 12-Year Sentence For Investment Broker Fraud

Jesus “Chuy” Rodriguez de la Cruz (“Rodriguez”), an ex-Morgan Stanley stockbroker in Texas, was sentenced to 12 years in prison for defrauding investors in a multimillion-dollar investment fraud. His CRD on BrokerCheck lists him as Jesus Rodriguez.

Rodriguez was barred by the Financial Industry Regulatory Authority (“FINRA”) in 2021. The U.S. Securities and Exchange Commission (“SEC”) filed a complaint against Rodriguez last year accusing him of misappropriating over $4.6 million from the accounts of at least 10 investors at Morgan Stanley where he was a registered representative from 2009 to 2021.

Stockbroker Misconduct Attorneys

Published on: April 13, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Imprisoned Oppenheimer Broker John Woods Defraud You In $110M Horizon Private Equity III Scam? Our Stockbroker Misconduct Attorneys May Be Able To Help

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorneys (investorlawyers.com) are continuing to investigate claims of investor losses involving the $110M Horizon Private Ponzi Fraud once run by convicted former Oppenheimer financial advisor John Justin Woods. The former stockbroker, who pleaded guilty to wire fraud, defrauded hundreds of investors, including many seniors, retirees, and veterans, from around the United States.

He operated his scheme through Livingston Group Asset Management Company (Southport Capital) and his Horizon Private Equity III LLC, and he also worked as an Oppenheimer registered representative. This is why the broker-dealer has been sued by many of Woods’ victims.

SSEK Broker Fraud Attorneys

Published on: April 13, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys Investigates Former Traderfield Securities/Momentix Capital and IBN Ex-Financial Broker Vincent Camarda

Customers Who Suffered Losses File FINRA Lawsuits For Over $23M

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys (investorlawyers.com) is looking into claims of losses of former customers of ex-IBN Financial Broker Vincent Jerome Camarda. Previous to that, he was a registered representative with Traderfield Securities, which is now known as Momentix Capital. Camarda continues to be a registered investment adviser with AG Morgan Financial Advisors.

Financial Advisor Misconduct Attorney

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Victim of Investment Adviser Fraud? SEC Accuses Upright Financial Group and Founder David Yow Shang Chiueh Of Defrauding Investors of $1.6M

If you believe you were the victim of investment adviser fraud, contact Shepherd Smith Edwards and Kantas Financial Advisor Misconduct Attorney (investorlawyers.com) today. We are looking into allegations that RIA Upright Financial Corp., its Upright Investments Trust, and found David Yow Shang Chiueh not only defrauded investors of $1.6M but also violated a settlement agreement with the US Securities and Exchange Commission (SEC).

Upright and Chiueh reached a settlement agreement with the regulator a few years ago over allegations that the RIA firm and its founder made investments not in line with its classification as a diversified investment company and its own concentration policy. Instead, per the SEC’s investigation, over 25% of their Upright Growth Fund’s assets were invested in one industry over several years. This is known as overconcentration and can lead to serious investment losses.

Broker Misconduct Lawyers

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Tesla, Nvidia, Amazon, and Other “Magnificent Seven” Stocks Track Worst Performances. Our Broker Misconduct Lawyers Are Exploring Whether Unsuitable Recommendations of Tech Stocks May Have Led To Overconcentration, Margin Abuse

Shepherd Smith Edwards and Kantas (investorlawyers.com) are closely monitoring the markets at this time to determine whether investors whose brokers heavily invested them in “Magnificent 7” stocks may have grounds for an investment loss recovery claim.

Following two years of leading stocks’ rallies, the largest technology companies—Amazon (AMZN), Alphabet (GOOGL, GOOG), Tesla (TSLA), Microsoft (MSFT), and Meta (META)—are underperforming and leading the major indexes downward. Apple is also down.

Business Development Company Loss Recovery Attorneys

Published on: February 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Business Development Company Loss Recovery Attorneys Investigates Blue Owl Capital BDC Losses

Our Business Development Company Loss Attorneys Are Looking Into Allegations Of Broker Negligence

If you sustained losses in either Blue Owl Capital Corp (OBDC) or Blue Owl Capital Corp III (OBDE), Shepherd Smith Edwards and Kantas (investorlawyer.com) can help you explore your legal options. We represent investors who have sustained losses in business development companies (BDCs) in which broker misconduct or negligence was involved.

Stockbroker Misconduct Attorneys

Published on: January 29, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Is The Victim of Broker Negligence? Our Skilled Stockbroker Misconduct Attorneys Work With Investors In Pursuing Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent those who have suffered losses because their broker was negligent and did not uphold the professional standards they were required to fulfill. As a result, serious portfolio losses occurred. If you suspect you may be the victim of stockbroker negligence, contact us today so that we can help you determine whether you have grounds for a securities claim.

What Is Broker Negligence?