Shepherd Smith Edwards and Kantas Provides Quality Securities Fraud Representation Against Financial Advisors

Published on: June 23, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky Regulation Best Interest Investor Law Firm

The law firm Shepherd Smith Edwards and Kantas offers legal representation for Kentucky investors seeking to recover portfolio losses caused by brokers who violated the SEC’s Regulation Best Interest standard. While investors cannot sue in civil court for these violations, the firm helps clients file for financial recovery through FINRA arbitration on a contingency basis.

Shepherd Smith Edwards and Kantas (investorlawyers.com) works with investors throughout the Bluegrass State to recoup portfolio losses from their brokerage firms, which prioritised their own interests over those of their customers. Contact our Lexington, KY, Regulation Best Interest law firm today so that we can help you explore your legal options.

Oceanside, CA Investor Sues Emerson Equity For Inspired Healthcare Capital Losses

Published on: June 23, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Retiree Is Seeking Up to $1,000,000 For What She Alleges Was An Unsuitable Investment Recommendation

An older investor from Oceanside, California, is seeking up to $1 million in a FINRA arbitration claim against Emerson Equity for allegedly recommending unsuitable investments in an Inspired Healthcare Capital Delaware Statutory Trust that recently filed for bankruptcy. Represented by the law firm Shepherd Smith Edwards and Kantas, the retiree accuses the broker-dealer of negligence, excessive concentration, and failing to disclose high fees and conflicts of interest.

Once again, an older investor is suing Emerson Equity over losses she suffered in an Inspired Healthcare Capital (IHC) Delaware Statutory Trust (DST). This is someone who entrusted a significant amount of her retirement money with this broker-dealer and its financial advisors. IHC, which is an assisted living developer, filed for Chapter 11 Bankruptcy protection earlier this year. Now, she is pursuing up to $1,000,00 in financial recovery.

Attn: Investors Who Suffered Private Placement Losses Involving One of the Atlas Funds

Published on: June 4, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Private Placement Fraud Attorneys are investigating whether this warrants an Investment Loss Recovery Claim Against Spartan Capital Securities

The law firm Shepherd Smith Edwards and Kantas is investigating Spartan Capital Securities and its CEO John Dennis Lowry following a FINRA disciplinary case over the alleged unsuitable sale of $24 million in high-risk Atlas Fund private placements to retail investors. The investigation focuses on massive undisclosed conflicts of interest, due diligence failures, and millions of dollars in excessive fees and markups that directly benefited Lowry.

If you are an investor who suffered losses in one of the Atlas Funds controlled by Spartan Capital securities broker, owner, and CEO John Dennis Lowry, contact our private placement fund loss attorneys today. There are concerns that the pre-IPO private placements may have been unsuitably recommended to more than 190 customers.

Did You Suffer Easterly ROCMuni High Income Municipal Bond Fund Losses While Working With Janney Montgomery Scott Broker John Hardiman?

Published on: June 4, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Want To Talk To You

The Broker Fraud Lawyers of Shepherd Smith Edwards and Kantas is investigating Janney Montgomery Scott financial advisor John Thomas Hardiman following the filing of a six-figure FINRA lawsuit involving massive losses in the Easterly ROCMuni High Income Municipal Bond Fund. The claim, filed on behalf of an elderly widow, alleges that Hardiman unsuitably overconcentrated her portfolio in speculative “junk” bond funds despite her conservative investment goals.

If you are an Easterly ROCMuni High Income Municipal Bond Fund investor who worked with Janney Montgomery Scott financial advisor John Thomas Hardiman, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We are continuing to investigate claims of losses against any financial advisor who sold the Easterly Fund to customers. Already, we have filed many FINRA lawsuits against brokerage firms.

Shepherd Smith Edwards and Kantas Is Investigating B Riley Broker William Mitchell Lefkowitz Over Investor Losses

Published on: June 4, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Stockbroker Loss Lawyers Represent Claimants In FINRA Arbitration

The law firm Shepherd Smith Edwards and Kantas is investigating B. Riley Wealth Management financial advisor William Mitchell Lefkowitz following a $1 million FINRA lawsuit alleging broker misconduct, including churning, unsuitable trading, and a conflict of interest involving his wife as a trustee. The firm is actively seeking to represent other investors who may have suffered losses under Lefkowitz’s management or due to a lack of firm supervision.

If you suffered investment losses while working with B Riley Wealth Management financial advisor William Mitchell Lefkowitz, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com). This longtime financial advisor of 40 years is under scrutiny following allegations of broker misconduct.

Shepherd Smith Edwards and Kantas Is Investigating Brokerage Firms That Sold Versity DSTs

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

Brokers Under Fire Over Allegedly Unsuitable Investment Recommendation of These Regulation D Offerings

Shepherd Smith Edwards and Kantas is investigating brokerage firms that unsuitably sold risky, illiquid Versity Investments Delaware Statutory Trusts (DSTs) to retail investors and retirees. The alternative asset firm faces allegations of a $56 million investment fraud, prompting the law firm to file FINRA arbitration claims to recover significant investor losses.

Shepherd Smith Edwards and Kantas FINRA Arbitration Attorneys (investorlawyers.com) are continuing to investigate the brokerage firms that sold Delaware Statutory Trusts (DSTs) from Versity Investments (NKA Crew Enterprises), including the following:

San Diego Securities Law Firm

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

San Diego Regulation Best Interest Securities Law Firm

The San Diego Securities Law Firm of Shepherd Smith Edwards and Kantas helps Southern California investors recover financial losses caused by brokerage firms violating the SEC’s Regulation Best Interest (Reg BI). Backed by over 35 years of experience, the legal team guides clients through the FINRA arbitration process to hold negligent financial advisors liable and maximize potential recoveries.

The Shepherd Smith Edward and Kantas San Diego Securities Law Firm Represents Investors Throughout Southern California

Investor Alert: Oaktree Strategic Credit Fund Under Scrutiny Over Losses

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

Our Business Development Company Investment Recovery Law Firm Is Investigating

The law firm Shepherd Smith Edwards and Kantas is investigating potential broker misconduct regarding the Oaktree Strategic Credit Fund, a risky and illiquid non-traded business development company facing a surge in investor redemption requests, lowered monthly income, and a decline in share value. Investors who suffered losses may have grounds for a financial recovery claim if brokerage firms unsuitably recommended the fund or failed to properly disclose its significant risks.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors who may have suffered losses in the Oaktree Strategic Credit Fund. There are growing concerns over this non-traded business development company (BDC) in the wake of an increase in investor redemption requests, the decline in its value, and a reduction in investors’ monthly income.

Are You An Investor Who Suffered Losses While Working With Ex-Northwestern Mutual Investment Services Broker John Jay Kersey?

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

Barred Financial Advisor Is Sentenced in Alleged $8.6M Investment Fraud

Former Northwestern Mutual Investment Services broker John Jay Kersey was permanently barred by FINRA and sentenced to five years in prison after pleading guilty to an $8.6 million wire fraud and misappropriation scheme. In response, the law firm Shepherd Smith Edwards and Kantas is offering free case assessments to help affected investors explore legal action for financial recovery against Kersey or his former employer.

Shepherd Smith Edwards and Kantas Broker Misappropriation Attorneys (investorlawyers.com) are offering a free case assessment to former customers of convicted ex- Northwestern Mutual Investment Services registered representative John Jay Kersey. He was recently sentenced to five years in federal prison after he pleaded guilty to wire fraud involving an alleged $8.6M investor scam.

Texas Couple Sues RBC Capital Over Velocis Fund III Losses

Published on: May 28, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Claimants Are Pursuing Up to $500,000 in Financial Recovery

Shepherd Smith Edwards and Kantas has filed a FINRA arbitration claim against RBC Capital on behalf of two investors seeking up to $500,000 in damages for losses in Velocis Fund III. The lawsuit alleges that the brokerage firm unsuitably recommended this risky, illiquid, and speculative private real estate fund to retail investors who were misled into believing it was a safe investment.

Shepherd Smith Edwards and Kantas Velocis Fund III Investor Lawyers (investorlawyers.com) are representing two Claimants who are suing RBC Capital over losses they sustained in the Velocis Fund III. Now they are pursuing up to $500,000 in damages, along with any interest and costs.