Securities Fraud

Texas Couple Files $5,000,000 Structured Product Lawsuit Against Merrill Lynch

Published on: September 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our Houston Securities Law Firm Is Representing These Investors In FINRA Arbitration

Due to what we believe was a blatant commission grab by Merrill Lynch, Pierce, Fenner & Smith and its broker Philip Wayne Jones, two Texas investors have suffered extreme portfolio losses involving complex structured notes and the purported churning of mutual funds. Now, they are suing the brokerage firm for more than $5,000,000. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these claimants in their investment loss recovery claim.

Our clients, a married couple with limited investing experience, entrusted their money to Merrill Lynch and this Houston financial advisor. Philip Jones, who has been with the brokerage firm as a broker and investment adviser for over 30 years, is not a Respondent in this structured product lawsuit.

Kentucky Securities Law Firm

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Paducah, KY Couple Files Easterly ROCMuni High Income Fund Loss Lawsuit Against Stifel, Nicolaus & Co. Claimants Are Suing For Up To $500,000 In Damages

Our Kentucky securities law firm of Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing two more Paducah, KY investors against Stifel, Nicolaus.& Co. over losses involving the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX). The Claimants are a senior couple and inexperienced investors. Both of them are on disability. They entrusted their life savings to their Stifel broker, Adam Michael Chustz.

They contend that Stifel made the outrageous decision to concentrate their account with the Easterly ROCMuni fund. This is a speculative, illiquid, high-risk junk bond that lost more than half of its value over three days in June. Many millions of dollars were lost. Its stock price is now below $3.00/share.

Houston Securities Law Office

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

For Texas Investors Who Suffered Losses In iCapital VRF or Virage, The Time To Explore Your Legal Options Is Now

Contact our iCap VRF Investment Losses Attorneys in Houston, TX

Shepherd Smith Edwards and Kantas Houston Securities Law Office (investorlawyers.com) is continuing to speak with Texas investors who suffered losses involving iCapital VRF (AKA as iCap VRF) or Virage. iCap VRF is a feeder fund that is invested in Virage Capital Management.

Kentucky Securities Law Office

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

Are You A Paducah, Kentucky Investor Whose Stifel Broker Sold You Easterly ROCMuni High Income Fund?

Meet With Our Investment Fraud attorneys in Paducah, Kentucky on Aug 7th-8^th, 2025

If you are a Kentucky investor who lost money in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX) that was marketed and sold to you by a Stifel, Nicolaus & Co. financial advisor, Shepherd Smith Edwards & Kantas (investorlawyers.com) wants to talk to you. We will be in Paducah, KY to meet with you in person.

SEC Securities Fraud Lawyers

Published on: December 16, 2024 | by Shepherd Smith Edwards & Kantas, LLP

I Am An Investor. The Broker I Suspect Defrauded Me Is Under Investigation by the SEC. Should I Still Sue? Find Out The Answer To That Question From Our Knowledgeable SEC Securities Fraud Lawyers

Shepherd Smith Edwards and Kantas SEC Securities Fraud Lawyers (investorlawyers.com) represent investors who sustained losses because of financial advisor fraud or misconduct. True, there are instances in which the broker under scrutiny might also be also under investigation by the US Securities and Exchange Commission (SEC) over the same or similar allegations of wrongdoing. As an investor, you might think this is all that is needed to hold the stockbroker liable for the financial harm that you suffered. However, that is not necessarily true.

One reason is there is no guarantee even with an SEC investigation that the broker will be found to have done anything wrong; or, even that happens, that you will end up getting all of your money back. Not only that, but the Commission has been known to reach settlements in enforcement actions with financial advisors that did not include any restitution. Also, with regulatory cases resulting in restitution, the victims who were harmed may not necessarily recoup all of their losses.

Securities Lawyers

Published on: December 10, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Northstar Financial Services (Bermuda) Investor? Our Securities Lawyers May Be Able To Help

Owner Greg Lindberg Pleads Guilty To Criminal Charges In $2B Fraud Case

Shepherd Smith Edwards and Kantas Securities Lawyers (investorlawyers.com) continues to investigate claims of losses by investors whose financial advisors marketed and sold them Northstar Financial Services (Bermuda) annuities. Many of our clients are foreign nationals from Asia, Central America, and Europe whose brokers and investment advisers continued to get paid hefty commissions and fees for keeping investors in these troubled investments long after red flags appeared indicating something was amiss.

Securities Law Firm

Published on: November 26, 2024 | by Shepherd Smith Edwards & Kantas, LLP

I’m An Investor. How Should I File A Securities Fraud Claim in the US? Our Skilled Securities Law Firm Can Help You Explore Your Legal Options

Pursuing damages to recoup your investment losses caused by fraud or financial advisor misconduct can be a difficult process, which is why you need seasoned securities attorneys like the ones at Shepherd Smith Edwards and Kantas representing you. We have been fighting for US investors and foreign nationals against US-based broker-dealers and investment advisers for more than 30 years. Through our experienced efforts, we have helped thousands of investors to collectively recoup many millions of dollars through arbitration, mediation, or litigation.

Where Should I File Your Securities Lawsuit Against A Broker-Dealer?

SEC Attorney

Published on: June 29, 2023 | by Shepherd Smith Edwards & Kantas, LLP

How Can A Skilled SEC Attorney Help You Pursue Damages From Your Broker-Dealer?

Shepherd Smith Edwards and Kantas Has Been Fighting For Investors For Over 30 Years

If you believe that you could be the victim of securities fraud, you may want to explore your legal options with a knowledgeable Securities and Exchange Commission (SEC) lawyer who can help you assess the cause of your losses and determine whether you have grounds for a lawsuit against your broker-dealer or investment adviser.

Lexington KY Securities Lawyers

Published on: May 8, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Lexington KY Securities Lawyers

Helping Kentucky Investors in Recovering Portfolio Losses Caused By Investment Adviser and Broker Fraud

In the Bluegrass State, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent novice investors, sophisticated investors, retirees, older investors, high-net-worth investors, and institutional investors who have suffered losses due to financial advisor misconduct or negligence. We have been exclusively fighting for investors for over 30 years.

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.