Current Investigations

Did Former Ameriprise Broker Christopher Jacobi Make An Unsuitable Investment Recommendation To You?

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

Our Unsuitability Recovery Lawyers Are Investigating This Financial Advisor Over Investor Losses

Shepherd Smith Edwards and Kantas Unsuitability Recovery Lawyers (investorlawyers.com) is speaking with customers of former Ameriprise Financial Services broker Christopher John Jacobi. The ex-Florida registered representative was in the industry for 37 years. Jacobi’s CRD shows 11 customer disputes, eight of which were filed in the last three years.

The primary allegation being made in these investor lawsuits is unsuitability. Claimants are seeking financial recovery in the five- and six-figures. Most of these customer disputes were settled or are still pending.

Houston, Tx Misrepresentations and Omissions Law Firm

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

Shepherd Smith Edwards and Kantas Houston Misrepresentations Lawyers Represents Investors In The Lone Star State in Their Broker Fraud Disputes

If you suffered portfolio losses and suspect that you may have been the victim of misrepresentations or omissions by your broker or investment adviser, contact our Houston securities law firm of Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We have been fighting for Texas investors since 1990.

What Are Misrepresentations and Omissions As They Relate To Broker Fraud?

Did Your Broker Sell You Ares Industrial Income REIT?

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

What Investors Should Know About This Non-Traded Real Estate Investment Trust

Shepherd Smith Edwards and Kantas AIREIT Loss Recovery Attorneys (investorlawyers.com) are offering a free case consultation to those of you who have suffered losses in Ares Industry Income REIT (AIREIT). This perpetual life non-traded REIT, which focuses on US industrial real estate, is open to retail investors. However, there are concerns that financial advisors selling this alternative investment may not have fully apprised customers of the risks.

AIREIT’s recent financial filings disclose higher costs, bigger losses, and a continued reliance on new capital to pay for distributions. Meanwhile, its portfolio, which includes last-mile logistics properties and bulk distribution, continues to grow.

What Easterly ROCMuni High Income Fund Investors Should Know

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

Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Lawyers are Representing Investors Against Broker-Dealers That Sold This Risky Junk Bond

If you are someone who suffered serious losses in the wake of the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX) fire sale in June 2025, you will want to reach out to Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We are representing Easterly ROCMuni Fund investors against broker-dealers, including Stifel, Nicolaus & Co., Osaic Wealth, and other firms.

The Easterly Fund had been losing money for almost a year when a fire sale in June 2025 caused it to lose many millions of dollars in just a few days. Last year, Easterly ROCMuni Fund had $300M in assets. Now it has less than $25M. Its share price is less than $3/share.

Delaware Statutory Trust Recovery Attorneys

Published on: December 1, 2025 | by Shepherd Smith Edwards & Kantas, LLP

San Francisco Investors File Inspired Healthcare Capital Loss Lawsuit Against Realized Financial

Our IHC Delaware Statutory Trusts Are Representing These Claimants, Who Are Suing For Up To $500,000

Two semi-retirees from the San Francisco Bay Area have filed a FINRA arbitration claim against brokerage firm Realized Financial and its registered representatives Robert Johnson, David Dahill, and Stephanie Nicole Elliot. Shepherd Smith Edwards and Kantas Delaware Statutory Trust Recovery Attorneys (investorlawyers.com) are representing these claimants in their six-figure case.

Holding Firms Accountable: Suing Broker-Dealers with Elder Financial Abuse Attorneys

Published on: December 1, 2025 | by Shepherd Smith Edwards & Kantas, LLP

What Should I Do If My Parent Becomes The Victim of Elder Financial Abuse By Their Broker? Shepherd Smith Edwards and Kantas Elder Financial Abuse Lawyers Can Help You Determine Your Next Steps

If your mother, father, or another elderly person you care for has sustained serious losses to their retirement money due to elder financial exploitation by a broker or investment adviser, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today.

Many people think of senior financial abuse as a crime committed by ill-meaning family, friends, caregivers, acquaintances, or scammers. What a lot of people don’t realize is that it can also be carried out by financial professionals.

Recovering From Broker Fraud: Your Claim with Experienced Selling Away Attorneys

Published on: December 1, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Sustain Serious Portfolio Losses While Working Former LPL Financial Broker William Tunink?

Contact Our Selling Away Law Firm To Explore Your Legal Options

If you are an investor who worked with ex-LPL Financial registered representative William Bernard Tunink (AKA “Bill” Tunink), and you sustained serious investment losses when he was your financial advisor, please contact Shepherd Smith Edwards and Kantas Selling Away Attorneys (investorlawyers.com) today.

Western Colorado Unsuitability Law Firm

Published on: December 1, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Ridgway, CO Securities Law Firm Represents Investors Who Have Suffered Losses Due To Inappropriate Broker Recommendations

Throughout Western Colorado, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents retail investors, retirees, accredited investors, institutional investors, high-net-worth investors, and ultra-high-net-worth investors who have sustained serious portfolio losses because their financial advisor recommended a product, trade, or strategy that was unsuitable. Unsuitability is a serious problem in the brokerage industry and one of the most common reasons that investors end up suing their financial advisor and the brokerage firm of record for damages.

Over the decades, our Ridgway, CO unsuitability attorneys have helped thousands of investors to secure settlements and awards from broker-dealers.

FINRA Arbitration: How L Bond Fraud Attorneys Target Broker-Dealers for Unsuitable Sales

Published on: December 1, 2025 | by Shepherd Smith Edwards & Kantas, LLP

GWG L Bonds Investors Are Suing Their Broker-Dealers For Their Losses

Former GWG Holdings Founder Brad Heppner Is Charged With Securities Fraud

Shepherd Smith Edwards and Kantas L Bond Fraud Attorneys (investorlawyers.com) is continuing to represent investors who sustained serious portfolio losses after their broker unsuitably recommended GWG L Bonds. Alternative asset firm GWG Holdings, which filed for bankruptcy in 2022, is accused of running a more than $1.6B Ponzi scam.

Mississippi Failure To Supervise Lawyers Investigate Brokerage Firm Negligence

Published on: November 20, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Mississippi Failure To Supervise Lawyers

Our Gulfport, MS Securities Law Firm Represents Investors In Recouping Losses From Brokerage Firms

If you are a Mississippi investor who suspects that your portfolio losses may have been enabled or even caused by the lax supervision of your brokerage firm, contact the Gulfport, MS securities law office of Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Unfortunately, the failure to supervise by a broker-dealer is an all too common occurrence.