Broker Misconduct

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.

Houston Broker Negligence Law Firm

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With UBS Broker Thomas Jenkins? Our Houston Broker Negligence Law Firm is Here To Help

Shepherd Smith Edwards and Kantas (investorlawyers.com) is investigating claims of losses involving UBS Financial Services broker Thomas Jenkins. The Houston, TX financial advisor was recently accused of negligence and breach of fiduciary duty by former customers who are suing for $1,000,000 in damages.

The claimants contend that Jenkins did not follow their instructions to move assets to certain trusts in a timely manner and this led to tax liabilities. The FINRA arbitration case is over fixed income and equities.

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?

Stockbroker Misconduct Law Firm

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

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Law Firm Are Investigating Ausdal Financial Broker David Michael Smith

Vero Beach, FL Financial Advisor Accused of Stockbroker Misconduct

If you suffered investment losses while working with Ausdal Financial broker David Michael Smith, our seasoned investor lawyers want to talk to you. Smith, who is based out of Florida and is also an Intervest International investment adviser, has five disclosures on record. All of them are customer disputes that were filed in the last two years.

Stockbroker Misconduct Lawyers

Published on: December 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

What Do You Need To Prove You Were The Victim of Broker Fraud? Hiring Skilled Stockbroker Misconduct Lawyers Is One Way To Increase Your Chances For Financial Recovery

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Lawyers (investorlawyers.com) represent investors against broker-dealers and investment advisors who owe them damages because of financial advisor fraud or negligence.

If you suspect that you were the victim of broker fraud, this is not the type of legal claim you want to pursue without a knowledgeable investment loss recovery firm representing you. What you can do first is to contact us today to request your free, initial no obligation case consultation.

Stockbroker Misconduct Attorney

Published on: July 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

When Structured Products Involving Stockbroker Misconduct Leads To Investment Losses. Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorney Team Represents Investors Against Brokerage Firms

If you have sustained losses in a structured product, contact our securities law firm today. Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorney Teams (investorlawyers.com) have been fighting for investors against brokers and their firms for over 30 years.

What Are Structured Products?

Securities Broker Misconduct Attorney

Published on: July 21, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Ex-Western International Securities Broker Tony Liddle?

Former Customers of Barred Wisconsin Financial Advisor Seeking Over $3M in Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors who sustained losses while working with ex-Landolt Securities financial advisor Anthony Baker Liddle (Tony Liddle). He pleaded guilty to wire fraud and money-related offenses in January 2023 and was sentenced to 97 months in prison for each count, but he will serve his time concurrently. He also was ordered to pay more than $1.6M in restitution. Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. Prior to being a Landolt registered representative, he was a Western International Securities broker.

Stockbroker Misconduct Lawyers

Published on: June 27, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Portfolio Losses While Working With Oppenheimer Broker Gustavo Miramontes?

Our Stockbroker Misconduct Lawyers Want To Talk To You

Shepherd Smith Edwards and Kantas (investorlawyers.com) is looking into claims of investor losses involving Oppenheimer financial advisor Gustavo Santos Miramontes. The Los Angeles stockbroker has multiple disclosures on his CRD that primarily consist of customer disputes.