Current Investigations

Stockbroker Fraud Lawyers

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Former Wells Fargo Broker Leroy Born Sell You STRIP Bonds? Our Stockbroker Fraud Lawyers Are Investigating Investor Losses

If you are an investor who suffered losses in (Separate Trading of Registered Interest and Principal of Securities) STRIP bonds, please contact the Shepherd Smith Edwards and Kantas Stockbroker Fraud Lawyers (investorlawyers.com) today to request your free, no obligation case assessment.

Currently, we are investigating claims of losses in these zero-interest treasury bonds that are long-term (between four and 29 years to maturity), risky and volatile, place tax obligations on accrued interest that has not been paid, and are illiquid.

New Orleans Failure To Supervise Law Firm

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The SSEK New Orleans Failure To Supervise Law Firm is Serving Louisiana Investors from Our Metairie Securities Law Office

At the New Orleans Failure To Supervise Law Firm office of Shepherd Smith Edwards and Kantas (investorlawyers.com), we cannot stress enough the necessity of brokerage firms to properly supervise their registered representatives and associated persons. Correct and compliant oversight can protect investors, helping to identify red flags indicating signs of financial advisor misconduct or investment fraud before serious portfolio losses can result. From our NOLA securities law office in Metairie, Louisiana we work with investors in New Orleans and throughout the Bayou State to recoup losses involving a failure to supervise by the broker-dealer.

What Does Failure To Supervise Involve and How Does This Hurt Investors?

GWG L Bond Attorneys

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Thousands of GWG Holdings Bondholders Are Still Waiting To Get Their Money Back. Contact our GWG L Bond Attorneys

If you are a GWG Holdings investor and are waiting to recoup your losses, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) so we can help you explore your legal options. Approximately 27,000 investors were sold this high-risk junk bond from an alternative asset firm that has since filed for bankruptcy. Now, many have been left wondering how they can get their money back.

Earlier this year, the GWG L bond investors who bought $1.6M in these supposed life settlement-backed bonds were offered pennies on the dollar in a proposal by Beneficient. That illiquid alternative investment platform offered to pay $50.5M to settle claims over lawsuits submitted in federal court. This would equate to a little over 3 cents for every dollar. It is not enough.

Houston Overconcentration Law Firm

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Houston Overconcentration Law Firm. We are Texas Broker Fraud Attorneys Committed to Helping Investors Recoup Damages

Unless you are a sophisticated investor who is purposely choosing to use excessive concentration in your brokerage account to maximize your returns—and you understand the risks—then this is likely an unsuitable investment strategy for you. Yet even for experienced and wealthy investors, a failure to diversify your portfolio could prove financially detrimental.

At the Houston Overconcentration Law Firm of Shepherd Smith Edwards and Kantas (investorlawyers.com), we represent Texas investors of all levels of investing experience in recouping losses caused by broker misconduct, including overconcentration. Whether you are a retail investor, a retiree, an older investor, an accredited investor, an institutional investor, or a high-net-worth investor, and you would like help determining whether you have grounds for an investment loss recovery claim, contact our Houston, Texas securities law office today. We offer a free, no-obligation initial case consultation.

Houston Securities Law Office

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

For Texas Investors Who Suffered Losses In iCapital VRF or Virage, The Time To Explore Your Legal Options Is Now

Contact our iCap VRF Investment Losses Attorneys in Houston, TX

Shepherd Smith Edwards and Kantas Houston Securities Law Office (investorlawyers.com) is continuing to speak with Texas investors who suffered losses involving iCapital VRF (AKA as iCap VRF) or Virage. iCap VRF is a feeder fund that is invested in Virage Capital Management.

Northstar Bermuda Fraud Attorneys

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Spanish Citizen Sues Osaic Institutions (FKA Infinex Investments) Over Northstar (Bermuda) Losses. Our Northstar Bermuda Fraud Attorneys Are Representing This Claimant in Their Six-Figure Lawsuit

A Spanish retiree is seeking up to $500K in damages from Osaic Institutions (FKA Infinex Investments) for losses he sustained in Northstar Financial Services (Bermuda). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this international investor in FINRA arbitration.

The claimant, who lives in Spain, had an account with Grove Bank & Trust (Formerly known as Coconut Grove Bank) in Florida. This investor was introduced to his then-Infinex Investments broker Alvaro Mauricio Jiron, through the bank. Our client contends that Jiron indicated there was a better way to manage his life savings than to keep them in bank CDs.

Easterly ROCMuni Fund Fraud Lawyers

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Brokers That Sold The Easterly ROCMuni High Income Fund To Investors May Have Misrepresented The Risks. Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Fraud Lawyers are Representing Claimants Against Broker-Dealers

Brokerage firms Stifel, Nicolaus & Co., Osaic, Janney Montgomery Scott, and others are currently under scrutiny for selling Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX) to customers. This speculative fund sustained massive losses in June 2025, with its share price dropping from more than $6.00/share to under $3.00/share. With $232M in investments at the end of March, the Fund now holds under $17M.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is offering free, initial, no obligation case consultations to those of you who have suffered losses in the Easterly ROCMuni Fund. Already, in FINRA arbitration, we have filed two separate six-figure bond fraud loss claims against Stifel. One is on behalf of a Colorado investor who worked with broker Timothy Darragh. The other is for a Kentucky investor.

Non-Traded REIT Loss Attorneys

Published on: August 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Couple Sues Emerson Equity for Up To $5,000,000 Over Inspired Healthcare Capital Losses

Retirees Allege Unsuitable Investment Recommendations Of Non-Traded REITs

Shepherd Smith Edwards and Kantas Non-Traded REIT Loss Attorneys (investorlawyers.com) are representing two claimants in their seven-figure FINRA lawsuit against broker-dealer Emerson Equity and its registered representatives Dominic Julio Baldini, Timothy John Sherer, Zhi Ying Guan, and Patrick Wang Lam.

Municipal Bond Fraud Lawyers

Published on: August 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Denver, CO Retiree Sues Stifel, Nicolaus & Co Over Easterly ROCMuni High Income Fund Losses. Our Municipal Bond Fraud Lawyers Are Representing Investors Against This Broker-Dealer

A Colorado retiree is suing Stifel, Nicolaus & Co. for up to $500K over losses he sustained in Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX), which was formerly Principal Street High Income Fund. The claimant, who is an elderly individual, contends that his account was overconcentrated with the Easterly Fund.

He is alleging unsuitability, misrepresentations and omissions, unsuitable investment recommendations, negligence, gross negligence, breach of fiduciary duty, breach of contract, failure to supervise, and more. Shepherd Smith Edwards and Kantas Municipal Bond Fraud Lawyers (investorlawyers.com) are representing this investor and others in their FINRA lawsuits against Stifel and the other brokerage firms that sold this fund.

Colorado Failure To Supervise Law Firm

Published on: August 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Western Colorado Failure To Supervise Law Firm. Representing Investors Who Have Suffered Portfolio Losses Due To Inappropriate Recommendations By A Broker

The Shepherd Smith Edwards and Kantas Colorado Failure To Supervise Law Firm (investorlawyers.com) represents victims throughout Western Colorado whose broker failed to properly supervise their account or financial advisor. Contact our Ridgway, CO securities law office if you are someone who would like to explore your legal options.

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