Featured Investigation

Broker Misconduct Law Firm

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Sophisticated Investor Who Suspects Your Portfolio Losses Were Due To Broker Fraud?

Our Broker Misconduct Law Firm Can Help You Explore Your Legal Options

The Broker Misconduct Law Firm, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent all kinds of investors who have suffered investment losses caused by the wrongful, careless, or negligent actions of their brokers. This includes accredited investors, sophisticated investors, high-net-worth individual investors, and institutional investors.

Annuity Fraud Loss Attorneys

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Seven-Figure Colorado Bankers Life Insurance Annuity Fraud Lawsuit Against Citizens Securities

Shepherd Smith Edwards and Kantas Is Representing Investor Over CB Life Annuity Loss

Our skilled annuity investment loss lawyers have filed a broker fraud lawsuit against Citizens Securities on behalf of a widow who suffered significant losses in a Colorado Bankers Life Insurance’s Life Annuity. The claimant, who is seeking up to $5M in damages, had entrusted her Citizens Securities broker Paul Emmanuel Coleman of Pennsylvania to make suitable, low-risk product recommendations with proper disclosures. The brokerage firm is an affiliate of Citizens Bank, which is where this investor had a checking account.

Brokerage Firm Negligence Law Firm

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Our Brokerage Firm Negligence Law Firm is Investigating Barred LPL Broker John Matson

Elderly Investor Called FINRA Helpline for Seniors to Complain

If you suffered significant portfolio losses while working with former LPL Financial stockbroker John Nicholas Matson, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you determine whether you have grounds for a legal claim. Nicholas, who was barred from the industry in December 2022, and fired by the broker-dealer the month before, has been accused by a former elderly client of recommending a promissory note from which the latter later stopped receiving interest payments that were purportedly promised.

Broker Dealer Negligence Attorney.

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Former Morgan Stanley Broker Darryl Cohen Allegedly Defrauded NBA Stars of Over $13M

Our Trusted Broker Fraud Lawyers Are Investigating Claims of Investor Losses

The Shepherd Smith Edwards and Kantas Broker Dealer Negligence Attorney teams (investorlawyers.com) are continuing to speak to former customers of ex-Morgan Stanley financial advisor Darryl M. Cohen. He was barred from the industry in 2021.

Broker-Dealer Negligence Lawyers

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses In AllianceBernstein’s Options Advantage Strategy?

Our Broker-Dealer Negligence Lawyers Are Investigating Sanford Bernstein Financial Advisors

If you are someone whose financial advisor recommended that you invest in AllianceBernstein’s Options Advantage Strategy and suffered significant investor losses, contact the Broker-Dealer Negligence Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) today so that we can help you explore your legal options. There are growing concerns that Sanford Bernstein brokers may have allegedly misrepresented the risks involved in this complex options trading strategy that was supposed to attract investors looking for “incremental returns” in a low-yield environment. Sanford Bernstein is a registered broker-dealer and a subsidiary of AllianceBernstein, which is a registered investment adviser.

New York FINRA Attorneys

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

New York FINRA Attorneys Representing Investors Against The Largest Broker-Dealers on Wall Street

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent New York investors and others against broker-dealers all over the state, including the biggest Wall Street firms. In addition to our Buffalo securities law office, we have branch offices throughout the United States.

If you live in the Empire States and would like to explore your legal options, contact our seasoned Buffalo FINRA attorneys today to request your free, no-obligation case consultation.

Kentucky FINRA Attorneys

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky FINRA Attorneys From Our Lexington Securities Law Office, We Represent Investors Against US Brokerage Firms

If you are a Kentucky investor who has suffered serious portfolio losses that you suspect may have been due to the wrongful or negligent actions of your financial advisor, it is important that you speak with a skilled Kentucky FINRA Attorneys right away. At Shepherd Smith Edward and Kantas (investorlawyers.com) we can help you explore your legal options.

With our securities law firm conveniently located in Lexington, we work with investors throughout the state. We represent clients not just against Kentucky-based brokerage firms but also against broker-dealers all over the United States.

Bond Fraud Lawyers

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Why Credit Suisse 7.5% Perpetual AT1 Bond Investors May Want To Explore Their Legal Options

Our Bond Fraud Lawyers Are Investigating Whether Broker-Dealers Committed Due Diligence Failures

With the UBS/Credit Suisse merger resulting in the writing off to zero of $17.2B Credit Suisse contingent convertible bonds (CoCos), investors of the latter’s Credit Suisse 7.500% Perpetual Corp. and its other CoCo bond offerings may have reason to worry. While the merger and resulting write-off of all Credit Suisse AT1 bonds may be reassuring to the Swiss Banking sector, investors of these bonds could be looking at significant losses. Although, it isn’t so much the write-down of the bonds but that the bondholders are not getting any compensation, while the bank’s shareholders are getting paid $3.23B, which is purportedly causing problems.

Broker Misappropriation Attorney

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Alleged Broker Misappropriation Leads To Investor Losses

Ex-Monmouth Capital Management Financial Advisor Caz Craffy Is Accused of Defrauding Military Families

Our trusted broker fraud lawyers work with investors and their families that have sustained losses due to financial advisors or negligence. This includes looking into allegations of misappropriation by financial advisors and whether their broker-dealers should be held liable.

Skilled Securities Fraud Lawyers

Published on: March 22, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer SVB Financial Group Investor Losses?

With Silicon Valley Bank Collapse, Our Skilled Securities Fraud Lawyers Are Investigating Brokerage Firms That May Have Made Misrepresentations

Just days after Silicon Valley Bank collapsed and was taken over by US banking regulators, sources report that parent company SVB Financial Group (SIVB: NASDAQ) may mull bankruptcy. Already, the latter saw its share price plunge by over 60%, and two of its top executives, CEO Greg Becker, and CFO Daniel Becker, are being sued by investors who are alleging securities fraud. The proposed class action lawsuit is accusing the defendants of concealing that rising interest rates posed a risk to the banking unit.