Current Investigations

I’m A Customer of Former Stifel Broker Chuck Roberts. What Should I Do About My Portfolio Losses?

Published on: November 7, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Brokerage Firm Stifel, Nicolaus & Co. Has To Pay More Than $140M To Clients

Shepherd Smith Edwards and Kantas Alternative Investment Loss Attorneys (investorlawyers.com) are continuing to investigate claims of losses involving former customers of ex-Stifel, Nicolaus & Co. stockbroker Chuck A. Roberts. Already, the brokerage firm has to pay more than $140,000,000 in settlements and awards to its clients to whom it sold structured notes.

Most recently, this included over $2M in settlements for customer disputes alleging negligence, fraud, breach of fiduciary duty, breach of contract, and more. There was also the $10.5M structured note settlement Stifel agreed to pay, as well as the $133M Financial Industry Regulatory Authority (FINRA) award that arbitrators ordered the broker-dealer to pay to a family that accused the firm of overconcentration, supervisory failures, and Regulation Best Interest violations.

New York Overconcentration Attorneys

Published on: November 7, 2025 | by Shepherd Smith Edwards & Kantas, LLP

We Are A Nationally Recognized Securities Law Firm That Represents NY Investors Against Wall Street Firms and Other US Broker-Dealers

If you are a New York investor who sustained serious losses because of a failure to diversify in your brokerage account by your financial advisor, you may be able to pursue damages for overconcentration.

At Shepherd Smith Edwards and Kantas our New York Overconcentration Attorneys (investorlawyers.com) represent clients throughout the Empire State with investment loss recovery claims against broker-dealers. Contact our Buffalo, NY securities law office to schedule your free, no obligation case assessment.

California Investor Files Six-Figure Versity Equity Investment Lawsuit Against Emerson Equity

Published on: November 7, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Delaware Statutory Fraud Attorneys Are Representing This Middle-Aged Investor

Shepherd Smith Edwards and Kantas Delaware Statutory Fraud Attorneys (investorlawyers.com) are representing a Costa Mesa, CA Claimant who is suing Emerson Equity and financial advisor Dominic Julio Baldini for up to $500,000 over losses he sustained in Versity Investments (KNA Crew Enterprises).

The investor is a middle-aged businessman who entrusted a healthy amount of his savings and retirement money to the brokerage firm. Unfortunately, instead of receiving prudent investment advice from the Respondents, it was allegedly unsuitably recommended that he place his money in risky Delaware Statutory Trusts (DSTs) from Versity Investments.

Illinois Investor Sues Open to the Public Investing

Published on: October 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Illinois Investor Sues Open to the Public Investing After Losing Hundreds of Thousands of Dollars

Unauthorized Third Party Accessed Her Brokerage Account And Made Trades Without Permission

Shepherd Smith Edwards and Kantas Securities Law Firm (investorlawyers.com) is representing an investor who lost hundreds of thousands of dollars in life savings within a matter of hours after a third party gained unauthorized access to her account with Open to the Public Investing.

Our IHC Investor Recovery Attorneys Can Help Investors Recover IHC Losses

Published on: October 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You an Austin, TX Investor Whose Realized Financial Broker Sold You Inspired Healthcare Capital DSTs?

If You Have Suffered IHC Losses, Contact Our Texas Broker-Dealer Negligence Law Firm Today

In Austin, Texas, the Shepherd Smith Edwards and Kantas Investor Recovery Attorneys (investorlawyers.com) is offering free, no obligation case assessments to investors who were marketed and sold Inspired Healthcare Capital (IHC) Delaware Statutory Trusts (DSTs) by brokerage firm Realized Financial, Inc.

Our Western Colorado Overconcentration Law Firm Helps Investors Explore Their Legal Options

Published on: October 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Western Colorado Overconcentration Law Firm

Our Ridgway, CO Securities Attorneys Are Here To Help Investors Throughout The Western Slope Explore Their Legal Options

For most investors, proper diversification among their investments is important to maximize stability and safety while decreasing the risk of loss. Unfortunately, overconcentration continues to be a serious issue that can lead to portfolio losses. Contact the Ridgway securities law office of Shepherd Smith Edwards and Kantas (investorlawyers.com) if you suspect a failure to diversify by your financial advisor. We can help you explore your legal options.

Our Inspired Healthcare Capital Loss Attorneys Represent Multiple IHC Investors Against Emerson Equity

Published on: October 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Emerson Equity Know That Inspired Healthcare Capital Was In Financial Trouble, But Kept Selling IHC DSTs To Investors?

Shepherd Smith Edwards and Kantas Is Representing Multiple IHC Investors Against Emerson Equity Over The Sale of Inspired Healthcare Capital Funds & DSTs

If you are an Inspired Healthcare Capital (IHC) investor who suffered serious losses in its Delaware Statutory Trusts (DSTs) that were sold to you by Emerson Equity, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. We are representing a number of IHC investors against this brokerage firm.

Our Mississippi Unsuitability Law Firm Represent Magnolia State Investors

Published on: October 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Mississippi Unsuitability Law Firm

Our Gulfport, MS Securities Attorneys Represent Magnolia State Investors Who Have Suffered Losses Because of Inappropriate Recommendations By Their Financial Advisor

Throughout Mississippi, the Shepherd Smith Edwards and Kantas Mississippi Unsuitability Law Firm (investorlawyers.com) represents investors against broker-dealers and investment advisers. This is not the kind of legal claim that you want to make without trusted unsuitability lawyers by your side. Contact our Gulfport, MS securities law office today.

Oregon Failure To Supervise Attorneys

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

Our Oregon Failure To Supervise Attorneys are Here To Represent Beaver State Investors With Investment Loss Recovery Claims Against Brokerage Firms

Shepherd Smith Edwards and Kantas (investorlawyers.com) works with retail investors, retirees, senior investors, families, accredited investors, high-net-worth investors, and institutional investors throughout Oregon who have suffered significant investment losses because of a failure to supervise by their broker-dealer. With over a century’s worth of collective experience in securities law, our Portland, Oregon investment loss recovery law firm is here to offer seasoned securities representation and personalized attention to each investor that we work with.

Failure To Supervise Can Be Grounds For Suing Your Brokerage Firm

Securities Law Firm of Shepherd Smith Edwards and Kantas Is Representing Claimants Against Webull Financial

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

Are You a Webull Financial Customer Who Suffered Losses in an Alleged Pump and Dump Scam Involving Hackers

The Securities Law Firm of Shepherd Smith Edwards and Kantas are Representing Claimants. We Are Also Investigating Allegations of A Hack at Tastytrade That May Have Harmed Their Customers.

If you are a customer at Webull Financial, and you suffered losses when an unauthorized party hacked into your brokerage account there to run an alleged pump-and-dump scam involving Ten-League International Holdings Limited (TLIH) shares, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. We are representing Claimants in recouping their losses from Webull in FINRA arbitration.