Articles Posted in FINRA Arbitration

How Our Skilled UBS Structured Product Loss Attorneys Can Help Investors 

Brokerage Firm Negligence?: UBS Financial May Have Unsuitably Recommended Complex Risky Investments 

Over the years, Shepherd Smith Edwards and Kantas (investorlawyers.com) have represented clients against UBS Financial in pursuing damages caused by broker fraud and negligence. This has included the brokerage firm allegedly unsuitably recommending investments that are too high-risk for customers or misrepresenting said risks and other key information about certain financial products and investing strategies.

What To Know When Filing a FINRA Complaint Against Your Broker

The Difference Between A FINRA Lawsuit and a FINRA Complaint  

If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization (FINRA). This non-profit organization, which regulates the US securities industry, investigates complaints brought against brokerage firms and their employees and, when warranted, issues disciplinary sanctions against them.

Why Investors With Colorado Bankers Life Insurance Annuity Losses Should Contact Our Experienced Securities Lawyers 

Shepherd Smith Edwards and Kantas Has Already Filed Dozens of Annuity Loss Lawsuits Related to Greg Lindberg-Owned Entities

If you are an investor who purchased annuities issued by Colorado Bankers Life Insurance Company or Bankers Life Insurance Company, you may be wondering how to recover your money, especially in light of a court’s order in late 2022 that placed both entities into liquidation. Both insurers are Global Growth entities and are owned by beleaguered insurance magnate Greg Lindberg.

California FINRA Attorneys

With Securities Law Offices in San Diego, Shepherd Smith Edwards and Kantas Represents California Investors Who Have Been The Victims of Broker Fraud or Negligence

If you have suffered investor losses caused by the wrongful or negligent actions of your brokerage firm and/or their registered representative, you may want to file a Financial Industry Regulatory Authority (FINRA) arbitration lawsuit for damages. At Shepherd Smith Edwards and Kantas (investorlawyers.com) our skilled California FINRA Attorneys are here to fight for investors like you.

Shepherd Smith Edwards and Kantas Opens Securities Fraud Law Firm Branch in Lexington, KY

Representing Kentucky Investors Against Brokerage Firms Throughout the United States

Our seasoned securities litigation attorneys at Shepherd Smith Edwards and Kantas (investorlawyers.com) are pleased to announce that we now have a law office in Lexington. While we’ve represented investors throughout Kentucky for over 30 years, local clients can come to our new location conveniently located on E. Reynolds Road.

Recoup Your GPB Investor Losses in Securities Arbitration

If you are an investor who suffered losses in GPB Capital Holdings, you may be able to sue your broker-dealer for unsuitably recommending these private placements that allegedly were part of a more than $1.7B Ponzi scam. Unfortunately, over 17,000 investors, including many retail customers and older retirees, were purportedly persuaded by their broker-dealers that investing in one of the GPB Funds was a solid investment opportunity. Instead, they have suffered significant investment losses. Meanwhile, GPB Capital’s key executives are facing regulatory and criminal charges along with lawsuits brought by investors.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing GPB Capital investors in the Financial Industry Regulatory Authority (FINRA) arbitration against the broker-dealers that sold private placements in one or more of the GPB Funds to customers. Some of these brokerage firms have even been subject to related regulatory sanctions.

The FINRA Arbitration Process

You’ve spoken with an experienced FINRA arbitration law firm that has determined your investor losses are due in part because of broker misconduct or negligence. You’ve decided to retain the services of skilled securities arbitration lawyers to help you sue your broker-dealer and maybe even their financial advisor for damages.

Like many investors, you may not be familiar with the FINRA arbitration process and want to know more about it and what to expect.

Secured Income Group Investors May Be Victims of Alleged $100M Investment Fraud

If you are someone who invested in Secured Income Group, you may be reeling from the news that in September 2022, the US Securities and Exchange Commission (SEC) filed civil charges accusing the real estate investment company, its owner/President Max McDermott, and investor relations representative Stacey Porter with running an alleged $100M offering fraud. $99.9M of “Secured Debentures” were reportedly offered to investors, including many non-accredited investors.

Secured Debentures were touted as safe, “CD-like” even, only with a higher yield. Secured Income Group claimed that it would hold the loans it made, as well as corresponding security interests while collecting income from them. It was from this income that investors were told to expect 6% to 9% in interest rate payments. Instead, many of them have suffered significant investment losses.

Former San Francisco Financial Advisor Is Barred Following Over $100 Million in Investor Claims Filed Against JP Morgan

Nearly a year after FINRA Lawyers, Shepherd Smith Edwards and Kantas (investorlawyers.com) won a $4 million Financial Industry Regulatory Authority (FINRA) arbitration claim against JP Morgan Securities, the former star broker involved, Edward Turley, has been now barred from the industry. Turley, who was the financial advisor in at least nine recently filed customer complaints alleging unauthorized and excessive trading, has consented to the bar.  Turley’s former clients are claiming that they suffered over $100 million in investment losses.

The ex-San Francisco-based financial advisor was fired by JP Morgan Securities in August 2021. Last month, FINRA, which was investigating the allegations against him, asked Turley to provide testimony about his trading patterns. This would have included patterns involving margin and foreign currency, as well as the buying and selling of preferred stock and high-yield bonds. Turley declined. His refusal to testify violates FINRA Rule 8210, which requires brokers to cooperate with enforcement investigations, as well as FINRA Rule 2010, which requires high standards of commercial honor for FINRA members.

Why Privately Traded REITS Are Too Risky For Most Retirees

Not all investments are suitable for everyone, which is why your broker-dealer has a duty to only recommend and sell financial products that are the right fit for you given your age, risk tolerance level, financial goals, and investing experience. Older investors, including retirees, are especially susceptible to devastating consequences from high-risk, unsuitable investment recommendations. If you are a retiree who suffered significant financial losses that you suspect may be due to broker misconduct or negligence, you should contact Shepherd Smith Edwards and Kantas REIT Investment Fraud Lawyers (InvestorLawyers.com) today.

Older Investor Files FINRA Lawsuit Against FSC Securities and Louisiana Broker Craig Accardo

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