Articles Posted in Broker Misconduct

Committed To Representing Investors Throughout Texas Since 1990

For more than 30 years, our savvy Dallas Broker Fraud Attorneys have zealously worked with retail investors, retirees, elderly investors, high-net-worth investors, and institutional investors in pursuing damages against their financial advisors whose misconduct or negligence caused them to suffer significant investment losses. This often has meant fighting for our clients in arbitration, mediation, and litigation.

If you are a Texas investor who would like to help determine whether your portfolio losses may be grounds for a broker fraud lawsuit, contact the team of Dallas Broker Fraud Attorneys at Shepherd Smith Edwards and Kantas ( today to request your free, no-obligation case consultation.

Did Your Broker Sell You Signature Bank Autocallable Notes?

Our Broker-Dealer Negligence Lawyers Can Help You Explore Your Legal Options

In March 2023, Signature Bank shuttered its doors. The Shepherd Smith Edwards and Kantas Structured Product Attorneys  ( are speaking to investors whose financial advisors may have allegedly unsuitably recommended that they get involved in the Autocallable Contingent Coupon Equity Linked Securities Linked to Signature Bank Due August 5, 2024. Sponsored by Citigroup Global Markets, this is a structured note that came with an “auto-call” feature. Autocallable notes are complex financial instruments that can lead to potentially high returns but also come with significant risks.

Shepherd Smith Edwards and Kantas Help Investors Recover Their Portfolio Losses 

What Distinguishes Our Trusted Broker Fraud Law Firm 

Shepherd Smith Edwards and Kantas ( have recovered many millions of dollars on behalf of thousands of investors that have fallen victim to a stockbroker and financial advisor’s negligence. We are one of the largest securities fraud law firms in the United States with over a combined century’s worth of experience in securities law and the securities industry. Dedicated to providing our clients with quality counsel and effective legal representation, we work with retail investors, retirees, wealthy investors, and institutions in pursuing damages from broker-dealers and investment advisers while protecting their legal rights.

If You’ve Joined A Class Action Securities Fraud Lawsuit Against GWG Holdings Can You Still Sue Your Broker?

Our Broker Negligence Law Firm Represents GWG Investors Against Broker-Dealers

At the end of March, the legal team for GWG Holdings told a Texas bankruptcy judge that it needed another two weeks to provide more disclosures related to creditor recovery. The life insurance-backed bond seller, which is accused of running a more than $1.6B Ponzi scam, filed for Chapter 11 protection last year.

When Alleged Broker Misappropriation Leads To Investor Losses

Ex-Monmouth Capital Management Financial Advisor Caz Craffy Is Accused of Defrauding Military Families

Our trusted broker fraud lawyers work with investors and their families that have sustained losses due to financial advisors or negligence. This includes looking into allegations of misappropriation by financial advisors and whether their broker-dealers should be held liable.

What Questions Should You Ask A Broker You Are Considering Working With?

Investing your money is always a risk, which is why many people turn to stockbrokers and investment advisers for help. They want experienced financial professionals to handle their funds properly and allocate their assets wisely.

While in an ideal world, every broker would only make suitable investment recommendations in line with each customer’s investing profile, risk tolerance level, and financial goals—as well as refrain from making misrepresentations and omissions, overconcentrating a client’s portfolio with too much of the same investment, or engaging in other forms of stockbroker negligence or fraud—every year, there are thousands of investors who end up losing money because of the wrongful, erroneous, or negligent actions of their financial advisors.

When Broker Misconduct Leads To Tax Return Losses

Our Skilled Investor Loss Lawyers Work With CPAs and Investors in Pursuing Financial Recovery

Many people don’t realize that investing can impact them tax-wise. For example, if you receive income from your investments, you may have to pay an ordinary income tax rate or, in certain instances, a special tax treatment involving lower, long-term capital gains tax rates. If you made a profit from selling an investment, you will typically have to pay taxes for the money that you earned. Or, if you sustained a loss from the sale, you may be able to take a deduction depending on what assets were involved. A qualified CPA can help with such matters.

When Unsuitable Structured Product Recommendations Lead To Investor Losses

Centaurus Financial & Brokers Fined Over $1M For Marketing Variable Interest Rate Investments To Retail Customers

Once again, Centaurus Financial is making headlines for allegedly unsuitably recommending financial products that were too risky for retail customers. This time the investments were variable interest rate structured products, which are complex, illiquid, and have maturity rates of 15 years or greater.

Are You The Victim of Stockbroker Negligence?

Our Trusted Financial Advisor Negligence Attorneys May Be Able To Help

When many people think of investor losses caused by broker misconduct they often assume that intentional wrongdoing was involved. However, that is not always the case. Unsuitable investment recommendations, misrepresentations and omissions, and overconcentration in a customer’s account (along with a failure to diversify investments) may also be a result of broker negligence. Either way, whether you suffered losses due to stockbroker fraud or negligence, you may be able to sue your brokerage firm and their registered representative for damages. But first, you need to find out whether you have grounds for a securities claim.

Hiring Trusted Broker Misconduct Lawyers Can Maximize Your Chances of Financial Recovery

Customers of Emerson Equity Broker Robert Melberth Are Pursuing Over $12M in Damages

If you are a current or former customer of Emerson Equity financial advisor Robert Wyla Melberth, and you are wondering if your investor losses are due to alleged broker misconduct or negligence, please contact Shepherd Smith Edwards and Kantas ( to request your free, no-obligation case assessment.

Contact Information