Featured Investigation

Stockbroker Misconduct Attorneys

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Sustained Portfolio Losses While Working With Former Edward Jones Broker Lincoln Mason?

Our Seasoned Stockbroker Misconduct Attorneys Are Investigating

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorneys (investorlawyer.com) are speaking to former customers of former financial advisor Lincoln Lucas Mason. Suspended by the Financial Industry Regulatory Authority (FINRA) in 2024 for 90 days, and discharged by Edward Jones in 2021, Mason is no longer a broker or investment adviser.

Reg D Private Placement Fraud Attorneys

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Inspired Healthcare Capital Investors May Have Suffered Serious Losses. Our Reg D Private Placement Fraud Attorneys Are Investigating.

If you are an investor whose broker marketed and sold you an Inspired Healthcare Capital private placement, and you have since sustained significant related portfolio losses, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you.

The private equity and alternative investment sponsor has suspended its investment offerings and stopped investor distributions. Meanwhile, the US Securities and Exchange Commission (SEC) is conducting a regulatory review into this alternative investment company.

Kentucky Failure To Supervise Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Lexington, Kentucky Failure To Supervise Law Firm

Our Kentucky Broker Negligence Lawyers Have Been Representing Investors For Decades

Throughout the Bluegrass State, the Shepherd Smith Edwards and Kantas Kentucky Failure To Supervise Law Firm (investorlawyers.com) offers robust securities representation and personalized attention to investors who have suffered losses because of lax or poor supervision by brokerage firms. Contact our Lexington, KY securities law office to schedule a free, no-obligation case consultation.

Failure To Supervise Attorneys

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

For Investors Who Suffered Losses While Working With Ex-Stifel Broker Chuck Roberts, There Is Still Time To Explore Your Legal Options. Contact Our Broker-Dealer Failure To Supervise Attorneys Today

Former financial advisor Chuck Roberts is no longer a Stifel Nicolaus & Co. broker or investment adviser. Meanwhile, the Financial Industry Regulatory Authority has barred him from the industry.

Roberts, an industry veteran of 35 years—and until recently a star Stifel stockbroker—consented to the bar after refusing to continue with the self-regulatory organization’s (SRO) probe into allegations involving him. Roberts came under scrutiny over structured product losses by his customers.

Broker Misconduct Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Massachusetts Investor Files Stock Loss Claim Against B Riley Wealth Management (FKA National Securities Corp. )

Claimant Is Suing For Up to $1M in Damages Involving Intelsat Stock (INTEQ) And Alleges Pump and Dump, Overconcentration By the Broker

In the FINRA lawsuit that the Shepherd Smith Edwards and Kantas Broker Misconduct Law Firm (investorlawyers.com) is representing, an elderly investor is suing B Riley Wealth Management (FKA National Securities). Our client, who is from Massachusetts, contends that his then-advisor Ali Barry Mahlooji, overconcentrated his account in Intelsat Sa(INTEQ) stock and took part in what appears to be an alleged pump and dump scam.

Private Equity Fund Loss Attorneys

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Merrill Lynch Ordered To Pay $3.7M for Private Equity Feeder Fund Losses Involving Investments Sponsored by Blackstone, Apollo And More

Two Customers Alleged Negligence, Breach of Fiduciary Duty When Suing Broker-Dealer

Earlier this month, a FINRA arbitration panel ruled that Merrill Lynch must pay $3.7M for losses sustained by two customers in private equity investments. The award included $2.7M in compensatory damages and $995K in legal fees.

Private Placement Loss Attorneys

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

AGM Capital Fund Investor Sues Momentix Capital (FKA Traderfield Securities)

Ex-Brokers Vincent Camarda and James McArthur Are Also Respondents In Six-Figure Securities Fraud Lawsuit

In FINRA Arbitration, the Shepherd Smith Edwards and Kantas Private Placement Loss Attorneys (investorlawyers.com) are representing a New York investor in his investment loss recovery claim against Momentix Capital (FKA Traderfield Securities) and former brokers Vincent Jerome Camarda and James Edward McArthur. The claimant is pursuing up to six figures in damages for losses he sustained in the AGM Capital Fund.

Bond Loss Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

GK7% Investment Holdings Bond Investors Were Promised a 7% Interest Rate, But Instead May Have Sustained Serious Losses

Misrepresentations and Omissions May Have Been Made About The Risks

The Shepherd Smith Edwards and Kantas Bond Loss Law Firm (investorlawyers.com) is continuing to offer free, no obligation case assessments to investors who were sold GK 7% Investment Holdings bond investments by their broker-dealer. These unsecured bonds, backed by speculative real estate, were unsuitable for retail investors a conservative retirees from the start.

Kentucky Bond Fraud Attorney

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Paducah, Kentucky Investor Sues Stifel Over Easterly ROCMuni High Income Fund Losses. Shepherd Smith Edwards & Kantas Is Representing the Investor Against Stifel for Easterly ROC Muni High Income Fund losses

Shepherd, Smith, Edwards & Kantas (“SSEK”) has filed a claim on behalf of a Paducah, Kentucky investor against Stifel, Nicolaus & Co. (“Stifel”) for losses suffered as a result of the collapse of this “junk bond” fund. This investor contends that his Stifel financial advisor concentrated his account into the Easterly ROC Muni High Income Fund (RMJAX, RMHIX, and RMVHX). This speculative fund lost more than half of its value in a few days in June, with its share price plunging from over $6.00 to less than $3.00 a share. The Fund has lost many millions of dollars, going from $232 million in investments at the end of March 2025 to under $17 million recently.

Although Stifel did liquidate this investor’s investment in the Easterly Fund before it fully collapsed, this did not save him from losing a significant percentage of his investment. In his FINRA lawsuit, our client is alleging unsuitable recommendations, breach of fiduciary duty, overconcentration, misrepresentations and omissions, negligence, unjust enrichment, failure to supervise, and more.

Selling Away Lawyers

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Former Customer of Ex-Merrill Lynch Broker Greg Whelan Alleged Selling Away Losses. Our Selling Away Lawyers Are Investigating

Selling away can lead to serious investor losses. At Shepherd Smith Edwards and Kantas (investorlawyers.com), our Selling Away Lawyers are speaking to former customers of financial advisor Gregory DePaul Whelan who have experienced portfolio losses that they suspect may involve investments that were never approved by his then-brokerage firm Merrill Lynch, Pierce, Fenner & Smith.

Greg Whelan, who is now a Kovack Securities registered representative, resigned from Merrill Lynch last year following allegations of selling away and conflicts of interest. His CRD notes that at least one customer dispute alleging selling away, unsuitability, and misrepresentations that was filed concluded with a $3.5M settlement. Whelan denies wrongdoing.