Featured Investigation

Shepherd Smith Edwards and Kantas Unsuitability Attorneys

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Portfolio Losses While Working With Former Aegis Capital Broker Keith D’Agostino?

Contact Our Unsuitability Attorneys Today

Shepherd Smith Edwards and Kantas Unsuitability Attorneys (investorlawyers.com) are investigating claims of losses involving suspended financial advisor Keith Michael D’Agostino. This longtime New York broker has 25 disclosures on his BrokerCheck CRD, including more than two dozen that are still pending or settled customer disputes.

Did You Suffer Investment Losses in Vintage DST, Which Was Sold To You By Your Financial Advisor?

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers May Be Able To Help

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are speaking to investors who suffered losses in Vintage Delaware Statutory Trusts (Vintage DST). This private placement Regulation D offering was sponsored by the now-defunct Crew Enterprises (f/k/a Versity Investments). It appears to have been unsuitably recommended to retail investors, retirees, and other unaccredited investors by financial advisors. Vintage DST is a risky, illiquid alternative investment. We are investigating the following brokerage firms or investment advisers that sold this private placement offering:

Aurora Securities

Sutter Securities Under Scrutiny For Alleged Excessive Trading That Cost 89-Year-Old Millions of Dollars

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Securities Attorneys are Investigating

If you are a Sutter Securities Inc. customer and you suspect your portfolio losses may have been caused by excessive trading by your financial advisor, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. The brokerage firm is currently the subject of a complaint by the Financial Industry Regulatory Authority’s (FINRA) enforcement department, accusing the firm of alleged excessive trading in an elderly retiree’s accounts. This purportedly led to the customer, someone with a moderate risk tolerance level and the objective of long-term growth, to pay more than $2.9M in trading costs and sustain at least $1.2M in realized losses

The FINRA complaint accuses Sutter Securities of unsuitably recommending and making 2,217 trades in two of this investor’s trust accounts between March 2020 and July 2021. The enforcement division also alleges that :

Are You An Investor Who Suffered Losses in Worthy Bonds?

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Negligence Lawyers Can Help You Explore Your Legal Options

If your financial advisor sold you Worthy Property Bonds, and you have since suffered significant losses, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. There are reports that these real-estate backed bonds, sold for just $10/each while touting a start earning of a fixed 6.5% APY compounded daily, may be experiencing troubles that could be impacting investors.

More than $277,536,200 in Worthy Bonds have been sold to investors, some of whom have expressed concerns that they have not been able to access their money because their funds remain frozen. There are even those claiming they have been trying to get their money back for over a year or longer.

Oregon Institutional Investor Law Firm

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Helps Victims of Financial Advisor Fraud and Negligence

From our Portland, Oregon securities law office, Shepherd Smith Edwards and Kantas Oregon Institutional Investor Law Firm (investorlawyers.com) represents institutional investors against broker-dealers and investment advisors. Institutional investor fraud can be complex and difficult to prove and win. We have been fighting for institutional investors throughout the United States, including the Beaver State, for more than 35 years.

Our Oregon institutional investor loss attorneys are well-versed in the financial industry, what constitutes institutional investor fraud or negligence involving financial advisors, and how to maximize an investor’s chances for full financial recovery.

FINRA Arbitration Attorneys

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

For Easterly ROCMuni High Income Fund Investors, Filing A FINRA Lawsuit May Be Your Best Chance At Recouping Your Losses

Shepherd Smith Edwards and Kantas FINRA Arbitration Attorneys Are Representing Easterly ROCMuni Claimants Against Broker-Dealers

Over six months after a fire sale caused Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX) to plunge in value, Shepherd Smith Edwards and Kantas (investorlawyers.com) FINRA Arbitration Attorneys continue to investigate claims of losses against the broker-dealers that unsuitably marketed this high-risk junk bond fund to customers. Already, we have filed investment loss recovery claims in FINRA arbitration against Stifel, Nicolaus & Co, Osaic Wealth, and other firms.

Shepherd Smith Edwards and Kantas Is Representing Inspired Healthcare Capital Investors Against Emerson Equity

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Investment Loss Recovery Lawyers Would Like To Offer You A Free Case Assessment

Shepherd Smith Edwards and Kantas Inspired Healthcare Capital Investment Loss Recovery Lawyers (investorlawyers.com) are continuing to investigate claims of investment losses involving Inspired Healthcare Capital Delaware Statutory Trusts (IHC DSTs). Already, we are representing a number of Claimants, many of them customers of Emerson Equity, which is the sole managing brokerage firm of this Regulation D private placement offering.

Here is a list of the Inspired Healthcare Capital Funds:

Shepherd Smith Edwards and Kantas Oregon Financial Product Failure Attorneys

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Portland, OR Securities Law Firm Represents Investors Against Brokers That Unsuitably Recommended Investments That Failed

If you are an Oregon investor who sustained serious losses because the financial product that your stockbroker or investment adviser recommended failed, contact Shepherd Smith Edwards and Kantas (investorlawyers.com). From our Portland, OR securities law office, we represent Beaver State investors in pursuing damages from negligent financial firms.

What Does It Mean To Sue Your Financial Advisor Over A Financial Product Failure?

Shepherd Smith Edwards and Kantas Priority Income Fund Attorneys are Investigating Claims of Losses

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Attention: Priority Income Fund Investors, Shepherd Smith Edwards and Kantas Is Investigating Claims of Losses

You May Have Grounds For Pursuing Damages From The Broker-Dealer or Advisor That Sold You This Risky Alternative Investment

Shepherd Smith Edwards and Kantas (investorlawyers.com) is investigating investor losses involving Priority Income Fund. As a result of speaking with other investors, our firm has learned that Priority Income Fund has lost roughly half of its value in recent months, creating large losses for unsuspecting investors.

Shepherd Smith Edwards and Kantas Investigates Barred W&S Brokerage Services Broker Ronald Daley

Published on: January 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Ohio Financial Advisor Is Sentenced to Prison Over an 8-Year Fraud Scam

If you suffered serious investment losses while working with former W & S Broker Services stockbroker Ronald Scott Dailey, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. The barred financial advisor was sentenced to 54 months in prison after he pleaded guilty to wire fraud and tax evasion connected to an eight-year scam that cost his victims hundreds of thousands of dollars.

Among the allegations made against him was that he would convert clients’ funds taken out of fixed annuities and life insurance. He would have them move the money to a bank account that he controlled, defrauding at least three victims of over $707,000, which he was ordered to pay in restitution. He also must pay the IRS almost $212,000.