Current Investigations

San Diego CA Broker Fraud Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Working With Southern California Investors To Recoup Their Losses Caused by Stockbroker Misconduct

The team of San Diego CA Broker Fraud Attorneys at Shepherd Smith Edward and Kantas (investorlawyers.com), know that trusting a financial advisor to manage, grow, and keep your money safe is a big step. We also understand how devastating it can be to have that trust breached causing you to suffer significant investment losses.

Our San Diego broker fraud lawyers represent investors in Southern California, as well as other investors with brokerage accounts in that region, in pursuing damages caused by the wrongful or negligent actions of their registered representatives.

Structured Product Attorneys

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Sell You Signature Bank Autocallable Notes?

Our Broker-Dealer Negligence Lawyers Can Help You Explore Your Legal Options

In March 2023, Signature Bank shuttered its doors. The Shepherd Smith Edwards and Kantas Structured Product Attorneys (investorlawyers.com) are speaking to investors whose financial advisors may have allegedly unsuitably recommended that they get involved in the Autocallable Contingent Coupon Equity Linked Securities Linked to Signature Bank Due August 5, 2024. Sponsored by Citigroup Global Markets, this is a structured note that came with an “auto-call” feature. Autocallable notes are complex financial instruments that can lead to potentially high returns but also come with significant risks.

Annuity Loss Lawyers

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Senior Investor Who May Be The Victim of Annuities Fraud

Our Savvy Annuity Loss Lawyers Are Representing Investors In Recouping Their Losses

The team of Annuity Loss Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) is offering free, initial case consultations to those who have suffered significant losses in annuities. Unfortunately, annuity fraud does happen. Many victims are older investors who have lost their retirement savings in what they were led to believe was a safe, low-risk investment.

Broker Dealer Negligence Lawyers

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did You Work With Ex-Stifel Nicolaus Broker Joseph Crespi and Suffer Investment Losses?

As Broker-Dealer Is Ordered to Pay $3.2M, Investors Struggle To Recoup Their Money

Our broker dealer negligence lawyers are speaking to former customers of ex-financial advisor Joseph Crespi to determine whether they have grounds for a FINRA lawsuit against Stifel Nicolaus, which is where he was a registered representative from 2018 to 2022. On May 1, 2023 Massachusetts Secretary of the Commonwealth William Galvin ordered the brokerage firm to pay a $2.5M penalty and over $700K in restitution after finding that it disregarded red flags indicating that Crespi was allegedly engaging in unauthorized trading and charged excessive fees to individual investors, churches, and nonprofit organizations.

Institutional Investor Loss Lawyers

Published on: May 15, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Losses in the $155M Florida Ponzi Scam In Which Deutsche Bank Was Found Negligent?

Our Institutional Investor Loss Lawyers May Be Able To Help

the Shepherd Smith Edwards and Kantas team of Institutional Investor Loss Lawyers (investorlawyers.com) represent institutional investors in recouping the losses caused by fraud. Sometimes, this means holding financial firms labile for their negligence that may have allegedly enabled an investment scam to happen or caused their own clients to become exposed to such a scheme.

Broker Fraud Law Firm

Published on: May 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Help Investors Recover Their Portfolio Losses

What Distinguishes Our Trusted Broker Fraud Law Firm

Shepherd Smith Edwards and Kantas (investorlawyers.com) have recovered many millions of dollars on behalf of thousands of investors that have fallen victim to a stockbroker and financial advisor’s negligence. We are one of the largest securities fraud law firms in the United States with over a combined century’s worth of experience in securities law and the securities industry. Dedicated to providing our clients with quality counsel and effective legal representation, we work with retail investors, retirees, wealthy investors, and institutions in pursuing damages from broker-dealers and investment advisers while protecting their legal rights.

GWG L Bond Lawyers

Published on: May 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A GWG Bondholder Hoping To Recover Your Losses from The Liquidation Proceedings? If Yes, Then Think Again

Our GWG L Bond Lawyers Are Helping Investors Sue Their Brokers

If you are a GWG Holdings investor who is wondering whether the alternative investment firm’s Chapter 11 bankruptcy plan is what will help you recover your losses, think again. Despite the recently submitted Summary of Treatment of Bondholders Under the Debtors’ Second Amended Joint Chapter 11 Plan, which claims that investors could end up recovering anywhere from 9%-100% on the face of the bonds—a range so broad that it isn’t really promising shareholders anything—your best chance for maximizing your financial recovery is to sue the broker-dealer that unsuitably sold you GWG L Bonds.

Oil and Gas Investment Fraud Lawyers

Published on: May 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Investors Sue David Lerner Associates Over Spirit of America Energy Fund Losses

Our Skilled Oil and Gas Investment Fraud Lawyers Filed Claimants’ Six-Figure FINRA Lawsuit

Shepherd Smith Edwards and Kantas (investorlawyers.com) continue to investigate claims of losses involving David Lerner Associates’ Spirit of America Energy Fund (SOAEX). Recently, this has included filing a securities fraud lawsuit against the brokerage firm on behalf of two investors.

Annuity Investment Fraud Lawyers

Published on: May 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Colorado Bankers Life Insurance Investors Continue To Explore Their Legal Options

Our Annuity Investor Loss Lawyers Are Filing Broker Fraud Lawsuits

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to speak with annuity investors who have suffered losses in a number of Greg Lindberg-owned entities, including Colorado Bankers Life Insurance, Bankers Life Insurance, Southland National Insurance Corp., Southland National Reinsurance Corp., PB Investment Holdings, and Northstar Financial Services (Bermuda). All of these companies are under scrutiny and in some kind of financial trouble with many of them in liquidation.

Investment Loss Law Firm

Published on: May 2, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You Wondering Whether You Received Poor Investing Advice From Your Broker?

You May Be Able To File a Broker Negligence Claim If You Ended Up Suffering Significant Investor Losses

Even if your broker never intended for you to lose money, if that is what happened because they gave you poor investment advice, then you may be able to sue your financial adviser and their brokerage firm for damages. Granted, no one is perfect, and mistakes can happen despite someone having the best of intentions. And, there are plenty of times when a broker makes an investment recommendation that ends up going badly and it is not their fault.