Current Investigations

ETF Attorneys

Published on: May 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

When Leveraged And Inverse ETFs Lead To Serious Investor Losses. Our Trusted ETF Attorneys Can Help You Determine What Happened

Shepherd Smith Edwards and Kantas ETF Attorneys (investorlawyers.com) represents clients who have suffered losses from all kinds of exchange-traded funds (ETFs), including leveraged ETFs and inverse ETFs. These are complex investments, and you want to retain a knowledgeable securities firm that understands these products and why they can warrant grounds for a FINRA lawsuit against your broker-dealer.

ETFs are a kind of security that tracks a financial instrument, like an index or a security. They trade on exchanges and have a price that is impacted by what it is tracking.

Variable Annuity Loss Law Firm

Published on: May 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Ex-Infinity Financial Services Broker Thomas Vigil Unsuitably Recommend L-Share Variable Annuity Exchanges and Variable Annuity Purchases To You? Our Experience Variable Annuity Loss Law Firm May Be Able To Help

The Financial Industry Regulatory Authority (FINRA) has fined former Infinity Financial Services Broker Thomas Vigil $10K for allegedly inappropriately recommending 10 unsuitable L-share variable annuity (VA) exchanges to several customers and two unsuitable variable annuity purchases to two clients.

The self-regulatory organization (SRO) contends that customers ended up paying higher fees. Vigil, who was suspended for 12 months, must pay $25,436 in restitution.

Ponzi Scam Law Firm

Published on: May 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are Premier Global Corp. Promissory Notes Part of A Mass $100M Ponzi Scam? Our Ponzi Scam Law Firm Are Investigating Ex-Gradient Securities Financial Advisor Nicholas Stovall

If you suffered serious investment losses after your stockbroker sold you a Premier Global Corp. promissory note or transferee agreement, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you.

There are growing suspicions that Premier Global Corp. may have been a more than Ponzi scam, which is what state securities regulators in Oklahoma and Kansas contend that it is. Misrepresentations of profitability were purportedly made. The notes’ issuers ended up defaulting on the notes.

Colorado Failure To Supervise Lawyers

Published on: May 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Denver, Colorado Failure To Supervise Lawyers

Working With Investors Throughout Colorado Who Have Loss Claims Against Brokers and Investment Advisers

Shepherd Smith Edwards and Kantas, Colorado Failure To Supervise Lawyers (investorlawyers.com) represent investors who have sustained losses because of financial advisor misconduct or negligence. This can include a failure to supervise by the broker-dealer or investment adviser where the registered representative is affiliated.

REIT Loss Lawyers

Published on: May 21, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Moody National REIT Loss Lawyers Are Continuing To Investigate Investor Losses. Contact the Shepherd Smith Edwards and Kantas REIT Loss Lawyers Today

If you sustained serious Moody National REIT II losses, Shepherd Smith Edwards and Kantas REIT Loss Lawyers (investorlawyers.com) wants to talk to you. Our non-traded real estate investment trust (non-traded REIT) law firm is representing investors against the broker-dealers that sold this high-risk product to customers.

Moody National REIT II is a publicly registered non-traded real estate investment trust that is primarily involved in hospitality assets, including hotels from known brands, such as Hilton, Marriott, and others.

Annuity Fraud Lawyers

Published on: May 21, 2025 | by Shepherd Smith Edwards & Kantas, LLP

A Recap Of Why Many Broker-Dealers Owe Northstar Financial Services (Bermuda) Investors For Their Losses. Our Annuity Fraud Lawyers Are Representing More Than 100 Claimants In FINRA Arbitration

Over the past few years, Shepherd Smith Edwards and Kantas Annuity Fraud Lawyers (investorlawyers.com) have become the securities law firm to reach out to if you are an investor whose US-based broker-dealer unsuitably marketed and sold Northstar Financial Services (Bermuda) investments, such as:

Global Advantage

Oil and Gas MLP Attorneys

Published on: May 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Texas Investor Sues Edward Jones For Up to $500K Over Master Limited Partnership Investment Loss

Our Seasoned Houston Oil and Gas MLP Attorneys Are Representing This Claimant

A Corpus Christi, Tx retiree is seeking up to $500K damages over losses she suffered in a Master Limited Partnership (MLP) that was allegedly unsuitably recommended to her by an Edward Jones broker.

Elder Financial Abuse Law Firm

Published on: May 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Investment Losses While Working With Former Edward Jones Broker John Winslow? Barred Financial Advisor Is Accused of Elder Financial Abuse

The Shepherd Smith Edwards and Kantas Elder Financial Abuse Law Firm (investorlawyers.com) is investigating claims of losses involving former customers of barred former Edward Jones stockbroker John Winslow. The ex-Washington State financial advisor is indicted on 14 criminal charges, including wire fraud, after he allegedly misappropriated more than $920K from an elderly widow.

The Department of Justice contends that the barred broker exploited his relationship with this client to commit an allegedly complex scam that redirected money from her accounts at the broker-dealer to him. Prosecutors say that Winslow promised her greater returns.

L Bond Loss Recovery Lawyers

Published on: May 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

American Trust Investment Services Sold GWG L Bonds And Now Must Pay FINRA $266,000. Our L Bond Loss Recovery Lawyers Are Working With Investors To Pursue Their Losses

In a settlement reached with the Financial Industry Regulatory Authority (FINRA), broker-dealer American Trust Investment Services consented to pay $166K in restitution and a $100K fine to resolve allegations that three of its financial advisors violated Regulation Best Interest (REG BI) when they allegedly unsuitably recommended GWG L Bonds to investors.

GWG Holdings is accused of running a more than $1.6B Ponzi scam that cost thousands of L Bond investors serious losses.

L Bond Loss Recovery Attorneys

Published on: May 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

More GWG Investors Sue Western International Securities For Up to $5M. Our L Bond Loss Recovery Attorneys Are Representing These Claimants in FINRA Arbitration

A number of investors have joined together to file an investment loss recovery claim against Western International Securities over losses they sustained in GWG L Bonds. The claimants are seeking up to $5M in damages. This is not the first multimillion-dollar case we have filed against this broker-dealer over GWG-related losses.

In this latest FINRA lawsuit, these investors had no experience in private placements, and they trusted Western International Securities to offer them suitable products and conduct the proper due diligence.