Current Investigations

Dallas Failure To Supervise Attorneys

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

Suing Broker-Dealers Who Breached Their Fiduciary Duty To Texas Investors

Brokerage firms have a duty to properly oversee their registered representatives and their activities in customer accounts. When a failure to supervise allows or neglects to prevent broker fraud from happening, an investor who suffers losses as a result may be able to sue for damages.

Shepherd Smith Edwards and Kantas Dallas Failure To Supervise Attorneys (investorlawyers.com) represent Texas investors who have fallen victim to failure to supervise by their broker-dealer. Contact our Dallas, Tx supervisory negligence law firm today to request your free, no obligation consultation.

Non-Traded REIT Fraud Attorneys

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

Non-Traded REIT Losses May Be Grounds For a Broker Misconduct Case. Our Non-Traded REIT Fraud Attorneys Represent Investors In Pursuing Damages

Shepherd Smith Edwards and Kantas Non-Traded REIT Fraud Attorneys (investorlawyers.com) represent investors who have sustained losses in non-traded real estate investment trusts (non-traded REITs) that were unsuitably recommended to them by a broker-dealer or investment adviser. We are currently investigating claims of losses and/or representing investors who have sustained non-traded REIT losses involving the following:

KBS Real Estate Investment Trust III

Margin Abuse Attorneys

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

Are You An Investor Who Suffered Losses Due To Margin Blowout? Our Margin Abuse Attorneys Want To Talk To You

If you are an investor who suspects that broker misconduct was a factor in your margin loss claim, contact Shepherd Smith Edwards and Kantas Margin Abuse Attorneys (investorlawyers.com) today. We are looking into claims that may have involved your financial advisor selling out your account positions to satisfy your margin calls.

Having a margin account lets you borrow money from your broker-dealer, which gives you more money to invest. However, you will have to pay back that money. While brokerage firms are entitled to liquidate investors from various positions to meet margin calls, there may be instances in which grounds for a broker negligence claim may be warranted. For example, if your broker-dealer told you that there was time to meet margin calls but then sold your positions before that time had passed, misrepresentations and omissions may have occurred.

Florida Unsuitability Law Firm

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

Our Florida Unsuitability Law Firm Has Been Fighting for Investors For Over 30 Years

The Shepherd Smith Edwards and Kantas Florida Unsuitability Law Firm (investorlawyers.com) represents Florida investors who sustained losses because of unsuitable investment recommendations by their brokerage firm or investment adviser. Contact our Tampa, FL unsuitability attorneys today so that we can help you explore your legal options.

Unsuitability Is One Of The Most Common Reasons For Florida Investor Losses

Alternative Investment Loss Recovery Lawyers

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Cova Capital Broker Unsuitably Sell You Private Placements? Contact Our Alternative Investment Loss Recovery Lawyers Today

Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors who sustained losses in private placement offerings that were sold to them by Cova Capital Partners. The broker-dealer was sanctioned by the Financial Industry Regulatory Authority (FINRA) and ordered to pay a $30K fine.

FINRA contends that between June 2018 and December 2021, Cova purportedly recommended three private placements to retail investors but neglected to perform the necessary due diligence to have reasonable grounds for thinking the offerings were suitable or in the best interests of at least some of the customers.

Starwood REIT Loss Law Firm

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Sustain Losses In Starwood Real Estate Income Trust?

You May Have Grounds For An Investor Lawsuit Against Your Broker-Dealer

Shepherd Smith Edwards and Kantas Starwood REIT Loss Law Firm (investorlawyers.com) is working with investors who may have been unsuitably sold the Starwood Real Estate Income Trust (SREIT) by a financial advisor. Once again, MacKenzie Realty Capital has launched a tender offer to buy up to 150,000 of Class S shares of Starwood REIT for $15.30/share. That is a 30% reduction to Starwood’s most recent estimated NAV as of Nov 30, 2024, of $21.84/share.

Broker Fraud Lawyers

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

HJ Sims Investors Who Suffered Losses Should Contact Our Broker Fraud Lawyers Today. Brokerage Firm May Have Defrauded Customers With Sale of Reg D Offerings

Herbert J Sims (HJ Sims) is being investigated by Shepherd Smith Edwards & Kantas over allegations that its brokers sold unsuitable, perhaps even fraudulent proprietary private placement offerings to customers. Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are looking into these claims and speaking to investors who may have been harmed.

Over the last decade, HJ Sims has sold at least 93 Regulation D private placement offerings collectively valued at about $2.2B. The broker-dealer exclusively sold 84 of these products, many of which its own executives are believed to have set up and controlled—setting up a possible conflict of interest from commissions or fees to be earned on both the offering and selling ends. A lot of these HJ Sims bonds have since defaulted. At least 43 HJ Sims Reg D offerings purportedly did not submit state-mandated yearly registration forms.

New Orleans Overconcentration Law Firm

Published on: March 18, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The SSEK New Orleans Overconcentration Law Firm is Representing Louisiana Investors Who Were The Victims of Broker Negligence or Fraud

Shepherd Smith Edwards and Kantas (investorlawyers.com) are proud to represent investors from Bayou State who have been the victims of excessive concentration by their financial advisors. From our Metairie, LA securities law offices, we offer robust securities representation and personalized attention to retail investors, retirees, accredited investors, seniors, high-net-worth investors, ultra-high-net-worth investors, and institutional investors.

Why Overconcentration Is Unsuitable For Most Investors

Non-Traded REIT Recovery Attorneys

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

NorthStar Healthcare Income REIT Investor Sues Transamerica Financial Advisors Over Losses. Shepherd Smith Edwards and Kantas Non-Traded REIT Recovery Attorneys are Representing This Claimant In His Six-Figure Lawsuit

Real estate investment trusts (REITs) can be risky investments and they are not suitable for many retail investors and conservative retirees. In Financial Industry Regulatory Authority (FINRA) arbitration, Shepherd Smith Edwards and Kantas (investorlawers.com) is representing a Pennsylvania senior investor who is seeking up to $500K from broker-dealer Transamerica Financial Advisors over losses he sustained in REITs, such as NorthStar Healthcare Income REIT (NHI).

The claimant, as he was nearing retirement, entrusted part of his retirement savings to the broker-dealer and one of its registered representatives. Unfortunately, instead of giving him prudent investment advice, his Transamerica Financial Advisors broker unsuitably recommended risky products, including non-traded REITs.

FINRA Arbitration Lawyers

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas FINRA Arbitration Lawyers Investigates Investor Losses in Alleged $75M AGM Fund Fraud Involving AG Morgan Advisors

Ex-IBN Financial Brokers Vincent Camarda and James McArthur Accused of Fraudulently Selling Complete Business Solutions Group/Par Funding/AGM Fund Promissory Notes

If you are an investor who suffered losses while working with either AG Morgan Advisors Vincent Camarda or James McArthur after they marketed and sold to you the alternative investment Complete Business Solutions Group Inc. (DBA as Par Funding) or one of the AGM Funds, Shepherd Smith Edwards and Kantas FINRA Arbitration Lawyers (investorlawyers.com) can help you determine whether you have grounds for a security claim to recoup any losses. Already, numerous FINRA lawsuits have been filed.