Shepherd Smith Edwards and Kantas Is Investigating Fired UBS Financial Advisor Mark Sullivan

Published on: August 22, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Longtime Broker Is Accused of Making Hundreds of Unauthorized Trades in Two Customers’ Accounts

Law firm Shepherd Smith Edwards and Kantas is investigating former UBS financial advisor Mark Lawrence Sullivan after he was fired and subsequently suspended by FINRA over allegations of executing hundreds of unauthorized trades. The firm is encouraging affected investors who suffered losses due to Sullivan’s unauthorized trading or broker misconduct to reach out for a free consultation.

If you have suffered investment losses while working with former UBS stockbroker Mark Lawrence Sullivan, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. Sullivan was recently suspended for three months by the Financial Industry Regulatory Authority (FINRA) for allegedly exercising unauthorized discretionand mismarking tickets in customer accounts. This purportedly included making 581 trades in two clients’ accounts without getting their written authorization.

San Francisco Misrepresentations and Omissions Law Firm

Published on: August 22, 2026 | by Shepherd Smith Edwards & Kantas, LLP

We Help Northern California Investors Who Suffered Investment Losses Because Their Broker Gave Them False, Incomplete, or Inaccurate Facts

The law firm Shepherd Smith Edwards and Kantas represents Northern California investors who have suffered financial losses due to false statements or undisclosed material facts from their brokers. They advise victims against directly confronting their financial advisors and instead offer free consultations to help clients pursue recovery through FINRA arbitration.

At Shepherd Smith Edwards and Kantas (investorlawyers.com), we represent investors in the San Francisco Bay Area and the surrounding regions who were the victims of misrepresentations or omissionsby their financial advisor. Brokers have a duty to provide full and fair disclosure when recommending a stock, investment strategy, security, financial product, or an alternative investment to a customer. This is important because it allows the investor to make fully informed decisions.

Bahamas Investor Sues Truist Investment Services Over Northstar Financial Services Bermuda Losses

Published on: August 22, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Northstar (Bermuda) Investor Lawyers Are Representing This Claimant in His Six-Figure FINRA Lawsuit

A Nassau, Bahamas retiree is suing Truist Investment Services through FINRA arbitration for up to $500,000 after advisors unsuitably recommended and overconcentrated his funds in Northstar Financial Services (Bermuda), a risky offshore entity that subsequently went bankrupt. Represented by the law firm Shepherd Smith Edwards and Kantas, the suit alleges that the firm made misrepresentations and falsely guaranteed principal safety for an investment scheme whose owner defrauded investors.

A Nassau, Bahamas retiree is suing Truist Investment Services for up to $500K over losses he sustained in Northstar Financial Services (Bermuda). This was someone who wanted his money in the United States because he considered it a safe financial haven. Instead, Truist went on to unsuitably recommend this offshore entity, which has since filed for bankruptcy protection and is now defunct. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this Claimant in FINRA arbitration.

Did Ex-Morgan Stanley Broker Theodore Byrer Ignore Your Best Interests When By Recommending an Unsuitable Trading Strategy?

Published on: August 22, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Stockbroker Fraud Lawyers Are Investigating Claims Of Losses By His Former Customers Involving Options Trading, Unauthorized Trading, and More

The law firm Shepherd Smith Edwards and Kantas broker misconduct lawyer group is investigating investor loss claims against former Morgan Stanley broker Theodore Byrer, who was suspended by FINRA for unauthorized trading and unsuitably recommending risky options trading strategies to unsophisticated clients. Affected investors who suffered financial losses due to Byrer’s alleged misconduct are encouraged to seek a free consultation to explore potential recovery options through legal action against his former brokerage firm.

Shepherd Smith Edwards and Kantas broker misconduct lawyer team (investorlawyers.com) are speaking to investors who suffered losses while working with now suspended former financial advisor Theodore William Byrer. Morgan Stanley fired him in 2023 following allegations of unauthorized trading in customer accounts. Byrer went on to become an International Assets Advisory broker until 2024.

As Priority Income Fund’s NAV Continues Decline, Investors Are Exploring Their Legal Options

Published on: August 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Closed-End Fund Loss Recovery Lawyers Want To Talk To You

Following a severe drop in Priority Income Fund’s net asset value, Closed-End Fund Loss Recovery Lawyers at Shepherd Smith Edwards and Kantas are investigating brokerage firms that unsuitably recommended this high-risk alternative investment to retail clients. The firm has already filed FINRA arbitration lawsuits against several broker-dealers to help affected investors recover their financial losses.

If you are an investor who has suffered losses in Priority Income Fund, contact the Shepherd Smith Edwards and Kantas Closed-End Fund Loss Recovery Lawyers (investorlawyers.com) right away. We represent investors of this closed-end fund in Financial Industry Regulatory Authority (FINRA) arbitration.

Are You An Investor Who Suffered Losses While Using Online Brokerage Platform Tastytrade

Published on: August 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Misconduct Lawyers Are Investigating

Following FINRA fines against Tastytrade for unreported customer complaints and best-execution violations, broker misconduct lawyers at Shepherd Smith Edwards and Kantas are investigating investor losses tied to the platform. The firm is helping affected clients evaluate legal options, including potential FINRA arbitration claims over supervisory failures and unauthorized third-party account breaches.

If you are retail investor who suffered significant losses on tastytrade, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. This online brokerage platform is for self-directed investors and has a focus on futures trading and options. It recently came under scrutiny by the Financial Industry Regulatory Authority (FINRA) and our own securities fraud law firm.

Brokers That Sold DCM Multi-Family Homes Notes Are Under Scrutiny

Published on: August 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

High-Yield, Secured Medium-term Debt Instruments May Have Been Unsuitably Recommended to Customers, Including Non-US Citizens

Brokerage firms are under scrutiny for potentially unsuitably recommending risky DCM US Multi-Family Homes Notes to retail investors and non-US citizens, leading to significant losses after the issuer failed to make interest payments on over $400 million in debt. In response, the law firm Shepherd Smith Edwards and Kantas is offering free case assessments to help affected investors investigate potential claims of misrepresentation and unsuitability to recover their investment principal.

If you are an investor who suffered losses in one the DCM US Multi-Family Homes PLC Series 2020, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. These high-yield secured medium-term debt instruments were promoted as a chance to invest in the US multifamily real estate market. They were sold by the following brokerage firms:

Brokers Under Scrutiny For Selling Phoenix American Hospitality REITs

Published on: August 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Questions of Stockbroker Misconduct After SEC Hotel Investment Fund Manager Raises $86M From 2000 Investors

Dallas-based Phoenix American Hospitality and president William Lee “Perch” Nelson were charged by the SEC with fraudulently raising $86M from 2,000 investors through misleading Regulation A REIT claims. Affected investors can work with a qualified Broker Fraud Attorney to pursue FINRA arbitration against financial advisors who unsuitably recommended or misrepresented these risky real estate investments.

Shepherd Smith Edwards and Kantas Broker Fraud Attorney teams (investorlawyers.com) are looking into claims of investor losses involving Phoenix American Hospitality. The Dallas-based hotel investment fund manager and its president William Lee “Perch” Nelson are accused of fraud by the US Securities and Exchange Commission (SEC) related to two Regulation A investment funds: American Hospitality Properties REIT I and REIT II.

Texas Retiree Files Six-Figure REIT Loss Recovery Lawsuit Against Independent Financial Group

Published on: August 5, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Representing Claimant, Who Sustained Losses in Blue Rock, Cottonwood, and Other Real Estate Investment Trusts

Our REIT Loss Recovery Attorneys at Shepherd Smith Edwards and Kantas are representing a Texas retiree in a six-figure FINRA arbitration claim against Independent Financial Group for nearly total principal losses in Cottonwood, Blue Rock, and other unsuitable REITs. The lawsuit alleges that advisor Darrel Dominic Delphen recommended high-risk, illiquid real estate products to a vulnerable senior, failing to align with her conservative risk profile and retirement needs.

A senior investor is suing Independent Financial Group after suffering what she contends were unsuitable investment recommendations in high-risk real estate investment trusts (REITs). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing her in FINRA arbitration.

Are You An Investor Who Suffered Losses In Alexander Capital – Series Delta-2?

Published on: August 5, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Investigating Barred Broker Roger Roemmich and Other Financial Advisors That May Have Sold This Limited Partnership

Our Series Delta 2 Investor Attorneys at Shepherd Smith Edwards and Kantas are investigating Alexander Capital and barred broker Roger Roemmich for allegedly mis-selling high-risk, illiquid limited partnership investments tied to an electric vehicle startup. We represent retail clients—including retirees facing near-total principal losses—in pursuing FINRA arbitration claims for unsuitability, high upfront fees, misrepresentations, and Regulation Best Interest violations.

If you are an investor who suffered losses in Alexander Capital – Series Delta-2, you should contact Shepherd Smith Edwards and Kantas (investorlawyers.com) right away to request your free case consultation. Already, we are representing one retired couple who suffered a near-total loss of their principal in this limited partnership (LP) that was an unsuitable investment recommendation for them. They are suing for up to $500,000.