Broker negligence

Broker Fraud Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The Shepherd Smith Edwards and Kantas Broker Fraud Law Firm Continues To Investigate Investor Losses Involving Ex-Hilltop Securities Broker Rajesh Markan.

SEC Bars Ex-Texas Financial Advisor Who Pleaded Guilty Over Pony Private Equity Investments

If you are an investor who suffered losses while working with now convicted former Dallas financial advisor Rajesh Markan, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Our Texas securities law firm represents investors in recouping losses caused by broker misconduct or negligence.

Broker Misconduct Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Massachusetts Investor Files Stock Loss Claim Against B Riley Wealth Management (FKA National Securities Corp. )

Claimant Is Suing For Up to $1M in Damages Involving Intelsat Stock (INTEQ) And Alleges Pump and Dump, Overconcentration By the Broker

In the FINRA lawsuit that the Shepherd Smith Edwards and Kantas Broker Misconduct Law Firm (investorlawyers.com) is representing, an elderly investor is suing B Riley Wealth Management (FKA National Securities). Our client, who is from Massachusetts, contends that his then-advisor Ali Barry Mahlooji, overconcentrated his account in Intelsat Sa(INTEQ) stock and took part in what appears to be an alleged pump and dump scam.

Broker Fraud Attorneys

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

69 Investor Lawsuits Filed By Former Customers of Ex-BOK Financial Securities Broker Gihan Fernando. Our Broker Fraud Attorneys Continue To Investigate Further Loss Claims

Shepherd Smith Edwards and Kantas Broker Fraud Attorneys (investorlawyers.com) is offering free, no-obligation case consultations to customers who have suffered serious portfolio losses while working with former Bok Financial Securities stockbroker Gihan Anil Fernando. The Texas financial advisor is now a registered representative with Cetera Investment Services.

Fernando, who has worked 23 years in the industry, is also known as Gihan Raphael Fernando or Raphael Fernando. According to his CRD, at least 69 customer complaints have been filed by his former customers who sought to recoup their losses.

Broker Negligence Attorneys

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

iCapital VRF Investors in Texas May Be Adversely Impacted After MSRP Recovery/LifeWallet Losses. Our Houston Broker Negligence Attorneys Are Investigating Rockefeller Financial, Ex-Broker Samuel Frankfort, and Others That May Have Sold This Investment

Shepherd Smith Edwards and Kantas Broker Negligence Attorneys (investorlawyers.com) is investigating claims of losses involving iCapital VRF that may have impacted Texas investors, in particular those in the Houston area. Our Houston broker misconduct law firm is looking at Rockefeller Financial, including former financial advisor Samuel David Frankfort, and any other brokers that may have sold this investment to customers.

Rockefeller Financial is a subsidiary of Rockefeller Capital Management, which partnered with iCapital to give Rockefeller clients access to certain kinds of investment opportunities. Many of Rockefeller Financial’s customers are wealthy investors.

Broker Negligence Attorney

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

GK 7% Bond Investment Losses

Did Your Broker Unsuitably Recommend These Unsecured GK Investment Holdings Bond?

Three years after GK 7% bondholders were asked to trade in their older bonds for newer ones, Shepherd Smith Edwards and Kantas Broker Negligence Attorney team (investorlawyers.com) is investigating claims of unsuitability and misrepresentations and omissions against broker-dealers.

Beneficiary Broker Fraud Lawyers

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

Claimant Files Six-Figure Breach of Contract Lawsuit Against Merrill Lynch. Our Beneficiary Broker Fraud Lawyers Filed This Recovery Claim in FINRA Arbitration

Shepherd Smith Edwards and Kantas Beneficiary Broker Fraud Lawyers (investorlawyers.com) are representing a claimant who is pursuing up to $500K in damages from Merrill Lynch, Pierce, Fenner & Smith.

This is a case of alleged breach of contract in which the broker-dealer failed in its duty to properly facilitate a beneficiary transfer involving an annuity—a misstep that could have easily been avoided and that the firm and its registered representative knew/or should have known to execute properly.

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.

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.

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?