Articles Posted in Securities Fraud

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

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

In the Bluegrass State, Shepherd Smith Edwards and Kantas ( 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.

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.

Representing Colorado Investors In Their Securities Fraud Lawsuits Against Brokerage Firms

With our securities law office conveniently located in Denver’s North Capitol Hill close to the Central Business District, Shepherd Smith Edwards and Kantas ( represent investors throughout the region in their FINRA arbitration claims against the brokerage firms and financial advisors responsible for their investment losses. Contact us today to request your free, initial no obligation case assessment.

Entrusting a broker-dealer to save and grow your portfolio is a big decision, and it can be devastating to know that the financial fiduciaries you placed your faith in engaged in negligent or wrongful actions that caused you to lose money. It is why our skilled Denver FINRA lawyers are here to help.

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

If you are an investor who is looking to recover your portfolio losses that may have been caused by broker fraud or negligence, it is important that you retain the services of knowledgeable Securities Fraud Lawyers that can represent you. But how do you know what to look for when hiring legal representation?

At Shepherd Smith Edwards and Kantas ( we have been fighting for retail customers, retirees, accredited investors, high-net-worth investors, and institutional investors for over 30 years. Known and well-regarded by our peers and others throughout the industry, we represent clients all over the United States and have collectively recovered many millions of dollars on their behalf.

What Can You Expect When You Hire Our Seasoned Securities Litigation Lawyers?

With over 30 years representing investors, Shepherd Smith Edwards and Kantas ( offer unparalleled experience in securities litigation while providing personalized attention to each of our clients. We work with retail investors, retirees, accredited investors, wealthy investors, and institutional investors that have suffered significant investment losses due to broker negligence or misconduct in pursuing damages from their broker-dealers. Our SEC fraud attorneys have gone up against the largest brokerage firms on Wall Street to secure settlements and win arbitration awards for our clients.

When you retain our services, you gain the insight, skills, and experience of not just one attorney, but of an entire team of knowledgeable securities arbitration lawyers along with skilled staff, including paralegals, legal secretaries, consultants, and assistants. Many of us have previous experience working in other areas of the securities industry, including as account managers and brokers at large Wall Street firms. It is because of what we witnessed in terms of unsavory broker-dealer misconduct and negligence, and how these behaviors harmed investors, that we are now fighting on the side of clients like you. Not only that, but unlike many other securities fraud law firms for which representing investors is just one area of their business, this is our sole area of practice and we’ve been here doing this for a very long time.

Are You An Investor Who Is A Victim of Unsuitable Investment Recommendations by Your Broker?

How Our Skilled Brokerage Firm Arbitration Lawyers Can Help

An unsuitable investment is one that is not appropriate for an investor and this can be for a number of many different reasons depending on the customer. The investment may be too risky for a conservative retiree resulting in serious investor losses. The same investment might not be risky enough for a sophisticated investor, losing them the opportunity to earn the income they might have otherwise if only their portfolio held more complex alternative investments.

Our Seasoned Securities Lawyers Continue to Fight For GWG L Bond Investors

Resignations of GWG Holdings CEO and CFO Are Latest Upset To Hit Beleaguered Alternative Asset Firm

GWG Holdings, Inc. CEO/President Murray T. Holland and CFO/Treasurer Timothy L. Evans recently resigned as the company’s executives. The two men stepped down in mid-November 2022 after an internal review found that other ex-board members’ worries about one investment were allegedly disregarded. Holland and Evans, however, remain on the alternative asset firm’s board.

$500M of This Risky Private Placement Investment May Have Been Sold By Brokerage Firms 

More than two years after the US Securities and Exchange Commission (SEC) announced that it had filed an emergency action against Complete Business Solutions (d/b/a Par Funding), many of those who collectively invested up to $500M in its alternative investment offerings are still grappling with how to recover their investor losses.

The Broker Misconduct Lawyer teams of Shepherd Smith Edwards and Kantas ( are speaking with these investors, many of whom may have been unsuitably sold these risky unregistered securities by brokers. If this is the case for you, then you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) lawsuit against your broker-dealer for damages.

New Jersey Accuses Real Estate Development Company of Defrauding 1,800 Investors 

Shepherd Smith Edwards and Kantas (SSEK Law Firm at is investigating claims of losses by 1,800 investors. These investors may have been fraudulently sold at least $630M in securities by National Realty Investment Advisors (NRIA) between 2018 and 2022. The New Jersey-based real estate development company filed for Chapter 11 bankruptcy protection on June 8, 2022. 

An affidavit filed in US bankruptcy court notes about $600M in claims against approximately $300M of assets. On June 21, 2022, the New Jersey Bureau of Securities ordered NRIA to stop operations and accused the company of fraudulent investment sales. Investors were purportedly fraudulently sold units in the NRIA Fund. The minimum investment that investors could make was $100K.

Contact Information