Kentucky Misrepresentations and Omissions Law Firm

Published on: July 21, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Lexington, Kentucky Misrepresentation Lawyers Are Here To Help Investors Recover Their Losses

If you suffered investment losses after a financial advisor provided misleading information or hid key risks, the legal team at Shepherd Smith Edwards and Kantas can help you recover your money. Serving investors across the state, these experienced Kentucky Misrepresentation Lawyers guide clients through FINRA arbitration and fight for the full financial recovery they deserve.

If you are a Kentucky investor whose financial advisor didn’t fully inform you about key information regarding an investment or strategy, including the risks involved, you may have grounds for a misrepresentations and omissions claim. Throughout The Bluegrass State, Shepherd Smith Edwards and Kantas (investorlawyers.com) provides seasoned securities representation to those wishing to pursue financial recovery from their broker-dealer or investment adviser.

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.

Ex-Landolt Securities Broker Anthony Cottone Allegedly Misappropriated $2.8M of Client Funds

Published on: February 9, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Ex-Landolt Securities Broker Ran Now-Defunct Retirement Planning Institute

Anthony Matthew Cottone, an ex-Landolt Securities stockbroker, has been charged by the US Securities and Exchange Commission (SEC) with fraudulently running Secured Capital Strategies Fund. This is a private fund in which 11 investors were persuaded to invest about $2.8M. Cottone was permanently barred by the Financial Industry Regulatory Authority (FINRA) in 2018.

The owner and manager of the now-defunct Retirement Planning Institute LLC (RPI), Anthony Cottone, was a securities industry member for 13 years. His Broker Check record notes that he was a registered broker and investment adviser with several firms during this time. Most recently, he worked with Landolt Securities from 2016 to 2017.