Featured Investigation

Hedge Fund Fraud Attorneys

Published on: June 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Dynamic Absolute Return Fund Losses?

Investment Adviser Wealth Management Under Scrutiny For Allegedly Unsuitable Sales

Shepherd Smith Edwards and Kantas Hedge Fund Fraud Attorneys (investorlawyers.com) are offering free, initial case assessments to investors who may have suffered significant losses in the Dynamic Absolute Return Fund (DARF) that is run by Lattice Capital Management in Kirkland, Washington State. Recently, Lattice notified investors in a letter that the DARF Fund lost more than 85% of its value within days.

Northstar Bermuda Loss Attorneys

Published on: June 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Northstar Financial Services (Bermuda) Investor Sues Cetera For Up to $5M. Our Northstar Bermuda Loss Attorneys Are Representing This Chinese Investor in The US

A retiree who resides in China is suing Cetera Investment Services for losses she sustained in Northstar Financial (Services) Bermuda, which, she alleges, the US broker-dealer unsuitably recommended to her. In her FINRA arbitration claim, this investor is seeking up to $5M in damages. Shepherd Smith Edwards and Kantas Northstar Bermuda Loss Attorneys (investorlawyers.com) are representing this claimant.

This senior retiree thought it would be wise to place the family’s assets in the US for safekeeping to avoid the financial risks and fluctuations that are common in China. She opened an account with East West Bank, which is how she met Cetera broker Jason Chi-Jui Chiu, who spoke her native language. Chiu has worked in the industry for 23 years.

Broker Negligence Attorney

Published on: June 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

GK 7% Bond Investment Losses

Did Your Broker Unsuitably Recommend These Unsecured GK Investment Holdings Bond?

Three years after GK 7% bondholders were asked to trade in their older bonds for newer ones, Shepherd Smith Edwards and Kantas Broker Negligence Attorney team (investorlawyers.com) is investigating claims of unsuitability and misrepresentations and omissions against broker-dealers.

Chicago Overconcentration Attorneys

Published on: June 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Chicago Overconcentration Attorneys Has More Than 100 Years of Collective Experience Representing Investors

Any time you invest, there is always some risk involved. However, that doesn’t mean you should up the chance of loss by excessively concentrating your portfolio with too many of the same investments. At Shepherd Smith Edwards and Kantas, our Chicago overconcentration lawyers represent Illinois investors against brokers and investment advisers.

Overconcentration Can Be Too Risky For Many Illinois Investors

Trusted GWG Bond Attorneys

Published on: June 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

California Retiree Sues Centaurus Financial & Broker Valentino Scott Over GWG L Bond Losses. Claimant FINRA Lawsuit Seeks Up To $500K

The Shepherd Smith Edwards and Kantas Trusted GWG Bond Attorneys (investorlawyers.com) is representing another investor with a GWG fraud lawsuit against Centaurus Financial. The claimant is a senior investor. Also, a respondent in the case is Centaurus broker Valentino Michael Scott, whose CRD notes 11 investment losses recovery claims since 2020. Five others were filed before then.

In this FINRA arbitration claim, which would be heard by a panel of arbitrators in Los Angeles, CA, this investor contends that Scott allegedly unsuitably recommended high commission products that were in the broker’s and Centaurus’s best interests rather than what the claimant wanted or needed.

Beneficiary Broker Fraud Lawyers

Published on: June 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Claimant Files Six-Figure Breach of Contract Lawsuit Against Merrill Lynch. Our Beneficiary Broker Fraud Lawyers Filed This Recovery Claim in FINRA Arbitration

Shepherd Smith Edwards and Kantas Beneficiary Broker Fraud Lawyers (investorlawyers.com) are representing a claimant who is pursuing up to $500K in damages from Merrill Lynch, Pierce, Fenner & Smith.

This is a case of alleged breach of contract in which the broker-dealer failed in its duty to properly facilitate a beneficiary transfer involving an annuity—a misstep that could have easily been avoided and that the firm and its registered representative knew/or should have known to execute properly.

Moody National REIT II Attorneys

Published on: June 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Moody National REIT II Investor Recovery – Our Non-Traded Real Estate Investment Trust Attorneys Are Here To Help

Shepherd Smith Edwards and Kantas Moody National REIT II Attorneys (investorlawyers.com) represent Moody National REIT II investors who have sustained serious losses because of the unsuitable recommendation of their broker-dealer.

This publicly registered non-traded real estate investment trust has experienced a number of problems in recent years, especially in the wake of the COVID-19 pandemic, when its revenue dropped from $85M to $34M. This led to negative operating income.

ETF Attorneys

Published on: May 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

When Leveraged And Inverse ETFs Lead To Serious Investor Losses. Our Trusted ETF Attorneys Can Help You Determine What Happened

Shepherd Smith Edwards and Kantas ETF Attorneys (investorlawyers.com) represents clients who have suffered losses from all kinds of exchange-traded funds (ETFs), including leveraged ETFs and inverse ETFs. These are complex investments, and you want to retain a knowledgeable securities firm that understands these products and why they can warrant grounds for a FINRA lawsuit against your broker-dealer.

ETFs are a kind of security that tracks a financial instrument, like an index or a security. They trade on exchanges and have a price that is impacted by what it is tracking.

Variable Annuity Loss Law Firm

Published on: May 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Did Ex-Infinity Financial Services Broker Thomas Vigil Unsuitably Recommend L-Share Variable Annuity Exchanges and Variable Annuity Purchases To You? Our Experience Variable Annuity Loss Law Firm May Be Able To Help

The Financial Industry Regulatory Authority (FINRA) has fined former Infinity Financial Services Broker Thomas Vigil $10K for allegedly inappropriately recommending 10 unsuitable L-share variable annuity (VA) exchanges to several customers and two unsuitable variable annuity purchases to two clients.

The self-regulatory organization (SRO) contends that customers ended up paying higher fees. Vigil, who was suspended for 12 months, must pay $25,436 in restitution.

Ponzi Scam Law Firm

Published on: May 27, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are Premier Global Corp. Promissory Notes Part of A Mass $100M Ponzi Scam? Our Ponzi Scam Law Firm Are Investigating Ex-Gradient Securities Financial Advisor Nicholas Stovall

If you suffered serious investment losses after your stockbroker sold you a Premier Global Corp. promissory note or transferee agreement, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you.

There are growing suspicions that Premier Global Corp. may have been a more than Ponzi scam, which is what state securities regulators in Oklahoma and Kansas contend that it is. Misrepresentations of profitability were purportedly made. The notes’ issuers ended up defaulting on the notes.