Current Investigations

Our Broker-Dealer Negligence Lawyers Are Representing Three Claimants in Their Webull Financial FINRA Lawsuit

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

Investors Sue Webull Financial for Up To $5,000,000 Over Pump and Dump Losses Involving Third-Party Hacker That Accessed Their Brokerage Accounts

Our Broker-Dealer Negligence Lawyers Are Representing These Three Claimants in Their FINRA Lawsuit

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing more Claimants in suing Webull Financial over losses they sustained after an unknown party managed to hack into their accounts and defraud them in an alleged pump and dump scam involving the newly issued foreign penny stock of Ten-League International Holdings Ltd. (TLIH). The three investors are suing Webull for up to $5,000,000 in damages.

Florida Overconcentration Lawyers

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

Our Florida Overconcentration Lawyers in Our Tampa, Florida Securities Law Firm Have Been Representing Sunshine State Investors Against US Broker-Dealers For 35 Years

From Florida retirees to young investors, as well as institutional investors and wealthy, accredited investors, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents those in The Sunshine State who have suffered losses because their financial advisor neglected to properly diversify their investment accounts. This is also called overconcentration, and it is one of the most common causes of action made in investment loss recovery lawsuits.

If you are wondering whether you were the victim of excessive concentration by your broker, contact our Tampa securities law office today. This is a serious matter and you may have grounds for financial recovery.

What Is The Failure To Supervise By Your Broker-Dealer?

Published on: September 17, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Mississippi Failure To Supervise Attorneys From Our Gulfport, MS Securities Law Office, We Represent Investors Against US Broker-Dealers

Shepherd Smith Edwards and Kantas (investorlawyers.com) cannot tell you how many times Mississippi investors have come to us with portfolio losses that could have been avoided if only their brokerage firm had properly overseen their accounts and the financial advisor that was managing their money.

If you suspect that your investment losses may have been caused by stockbroker misconduct or negligence, contact our Gulfport, MS failure to supervise law office today to request a free, initial case consultation.

Inspired Healthcare Capital Lawsuit

Published on: September 17, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Inspired Healthcare Capital Investors Sue LightPath Capital & Broker Paul Getty For Up To $1,000,000

Our Private Placement Loss Attorneys Are Representing This California Couple In FINRA Arbitration

Two retirees have filed an investment loss recovery claim over losses they sustained in Inspired Healthcare Capital (IHC) against LightPath Capital and its former financial advisor, Paul Getty. The claimants contend that they were unsuitably concentrated in IHC Delaware Statutory Trusts (DSTs) and Real Estate Investment Trusts (REITs). They suffered significant portfolio losses and are now suing for up to $1M in damages. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these investors in their FINRA lawsuit.

Why You May Have Grounds for Suing The Broker Over Your Bluerock Investment

Published on: September 17, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Attention Bluerock Total Income + Real Estate Fund Investors Who Have Suffered Losses

Shepherd Edwards and Kantas Can Help You Explore Your Legal Options

If you are a Bluerock Total Income+ Real Estate Fund investor and this non-traded, closed-end interval fund was sold to you by a broker, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you today.

Shepherd Smith Edwards Continues To Investigate Broker James Walesa

Published on: September 17, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards Continues To Investigate Broker James Walesa As Investors Pursue Tens of Millions of Dollars in Damages

More Than 100 Investors May Have Been Impacted By Allegedly Unsuitable Recommendations

If you are an investor who suffered serious losses while working with former financial advisor James Thaddeus Walesa, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you.

Shepherd Smith Edwards and Kantas Is Representing These Claimants in FINRA Arbitration

Published on: September 10, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Illinois Couple Files Six-Figure Easterly ROCMuni High Income Fund Lawsuit Against Stifel

Shepherd Smith Edwards and Kantas Is Representing These Claimants in FINRA Arbitration

A semi-retired couple in their sixties is suing Stifel, Nicolaus & Co. for up to $500,000 over investment losses they sustained in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX). These investors worked with Stifel broker John Eric Suess, who is not a respondent in this securities fraud lawsuit.

Elderly New York Investor Files Six-Figure Easterly ROCMuni Fund Lawsuit Against Osaic Wealth

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

Our Broker Fraud Law Firm Is Representing This Claimant In FINRA Arbitration

A Brooklyn widow in her eighties is suing Osaic Wealth for up to $500,000 in damages for losses she suffered in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this New York Claimant. We are also representing other investors against the broker-dealers that unsuitably recommended this high-risk, speculative investment.

This Claimant had an account with Osaic that was supposed to provide for her income each month. Unfortunately, by the end of May 2025, her Osaic Wealth broker Sergio Kindler had concentrated two-thirds of her account into the Easterly ROCMuni Fund.

ATTENTION: Easterly ROCMuni High Income Fund Investors Who Have Sustained Serious Losses

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

Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Fraud Lawyers Are Representing Claimants Against US Broker-Dealers

If you are an investor who suffered serious losses in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX), Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. Already, we are representing a number of claimants in their six- and seven-figure investment loss recovery lawsuits against the brokerage firms that marketed and sold this high-risk, speculative junk bond.

The Easterly ROCMuni Fund is purportedly primarily invested in tax-exempt debt securities and illiquid bonds that have little to no financial history to support issuance. This makes it more of a junk bond than a municipal bond, especially given that the majority of the investments in the Fund are junk or below investment grade.

Texas Couple Files $5,000,000 Structured Product Lawsuit Against Merrill Lynch

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

Our Houston Securities Law Firm Is Representing These Investors In FINRA Arbitration

Due to what we believe was a blatant commission grab by Merrill Lynch, Pierce, Fenner & Smith and its broker Philip Wayne Jones, two Texas investors have suffered extreme portfolio losses involving complex structured notes and the purported churning of mutual funds. Now, they are suing the brokerage firm for more than $5,000,000. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these claimants in their investment loss recovery claim.

Our clients, a married couple with limited investing experience, entrusted their money to Merrill Lynch and this Houston financial advisor. Philip Jones, who has been with the brokerage firm as a broker and investment adviser for over 30 years, is not a Respondent in this structured product lawsuit.