Structured Products

Structured Product Loss Lawyers

Published on: June 24, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Attention Credit Suisse Contingent Coupon Autocallable Yield Notes Investors. Our Seasoned Structured Product Loss Lawyers Can Help You Assess If Our Broker-Dealer May Owe You Damages

Structured notes are complex debt securities that should not be recommended to retail investors. Some of these alternative investments may even be too risky for many sophisticated investors. Shepherd Smith Edwards and Kantas (investorlawyers.com) is investigating claims of losses involving Credit Suisse Contingent Coupon Autocallable Yield Notes linked to companies, including Uber Technologies Inc., Lucid Group, and others.

Issued in $1000 minimum denominations, Credit Suisse Contingent Coupon Lucid and Uber Autocallable Yield Notes are complex debt instruments. They are automatically callable if the underlying performance of their equities satisfies certain thresholds.

Structured Product Fraud Law Firm

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

New York Family Sues Osaic Wealth Over Structured Product Losses

Osaic Broker Allegedly Unsuitably Recommended an Auto-callable Contingent Coupon Equity Linked Note

The Shepherd Smith Edwards and Kantas Structured Product Fraud Law Firm (investorlawyers.com) is representing a mother and daughter in their FINRA lawsuit against Osaic Wealth (FKA Woodbury Financial Services). The claimants, who are both older investors, worked with Osaic broker Joseph Barnas.

Structured Product Attorneys

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

Structured Product Losses May Lead To Financial Advisor Fraud Lawsuits. Our Structured Product Attorneys Represent Investors In Pursuing Damages

Shepherd Smith Edwards and Kantas (investorlawyers.com) represents investors against the broker-dealers and investment advisers that unsuitably recommended and sold them structured products. These pre-packaged investments tend to be high-risk and illiquid. They may not be an appropriate recommendation for many investors, especially unsophisticated retail investors with low-to-no risk tolerance levels.

If you are wondering whether financial advisor misconduct, negligence, or bad advice played a part in your structured product losses, contact us today to request your free, initial case consultation.

Structured Product Fraud Attorneys

Published on: November 22, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Stifel, Nicolaus & Co. Ordered To Pay Investors $2.35M Over Structured Note Losses

This Latest FINRA Arbitration Award Again Involved Broker Chuck Roberts

Once again, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel, Nicolaus, & Co. to pay investors who sustained structured product losses—callable structured notes, in particular— while working with financial advisor Chuck Roberts. This time the award is for $2.35M. The award itself is for almost $1.9M while the remainder is for legal fees. In his investor lawsuit, the claimant alleged negligence, negligent supervision, fraud, and more.

Structured Product Fraud Lawyers

Published on: November 22, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Investigating B Riley Investment Losses. Our Structured Product Fraud Lawyers Speaking To Investors To Explore Their Legal Options

If you are an investor who sustained losses in a B Riley Financial-issued investment that was marketed and sold to you by your financial advisor, contact Shepherd Smith Edwards and Kantas Structured Product Fraud Lawyers (investorlawyers.com) today. We are looking into the following investments:

NASDAQ: RILY

Structured Note Lawyers

Published on: September 5, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses While Working With Stifel, Nicolaus & Co. Broker Chuck Roberts? There Is Still Time To Explore Your Legal Options. Contact Our Structured Note Lawyers

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to speak with former customers of Stifel, Nicolaus & Co. financial advisor Chuck Roberts. This registered representative heads up the firm’s CR Wealth Management Group.

He is still with Stifel even though investors who worked with him have filed at least $41.2M in broker fraud lawsuits over losses they allegedly sustained in structured products he recommended, including auto-callable notes. Visit Roberts’ CRD for more information.

Structured Product Loss Attorneys

Published on: July 23, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Ex-Customers of Stifel, Nicolaus Broker Chuck Roberts Are Suing For $41.2M. Contact Our Structured Product Loss Attorneys To Explore Your Legal Options

Shepherd Smith Edwards and Kantas (investorlawyers.com) Structured Product Loss Attorneys are continuing to speak with investors who have sustained losses while working with Stifel, Nicolaus, & Co. financial advisor Chuck A. Roberts. This New York broker, who has been in the industry for 34 years, has nearly two dozen disclosures on his CRD. This purportedly includes $41.2M in still pending investment loss recovery claims by former customers and primarily over the sale of structured notes. Among these were autocallable notes that didn’t come with much downside protection in the event that there was a decline in price of their underlying reference assets. Structured notes can be very volatile and speculative investments.

Claimants allege negligence, financial advisor fraud, breach of fiduciary duty, and breach of contract by Roberts, who is also a Miami Beach, Florida investment adviser for the firm. This Stifel, Nicolaus stockbroker is accused of telling clients that if they invested in the structured notes he chose, they would be able to preserve capital while making a return that came with a long-term average of approximately 12.25%.

Structured Product Loss Attorneys

Published on: February 1, 2024 | by Shepherd Smith Edwards & Kantas, LLP

INVESTOR ALERT: Clients of Stifel Nicolaus Financial Advisor Chuck Roberts File $38,100,000 In Broker Fraud Lawsuits.

SSEK Structured Product Loss Attorneys Represents Structured Product Investors in Pursuing Damages

More than one year, after our investment loss recovery lawyers began investigating claims of losses by customers of Stifel, Nicolaus stockbroker Chuck A. Roberts, the number of FINRA arbitration claims filed by those seeking damages, has skyrocketed. According to Roberts’ CRD, there are at least 16 pending investor loss cases involving this financial advisor and the money being sought is now collectively over $38,000,000. There are 21 disclosures in total on his record. Meantime, Roberts remains a registered representative with Stifel where he has worked as a broker and/or investment adviser for the last seven years. Reports indicate that he is based out of New York City and/or Miami Beach, Florida.

Structured Note Loss Lawyers

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Structured Note Loss Lawyers

Did You Suffer Serious Investor Losses in JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return?

If you suspect that you unsuitably recommended and sold JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return (SPGCCLP) and you sustained serious investment losses, you may be able to file a Financial Industry Regulatory Authority (FINRA) lawsuit against your broker-dealer if alleged brokerage firm negligence or fraud was involved. This particular structured product is a complex, illiquid investment and too risky for most retail customers, including conservative retirees and inexperienced investors. It may even be unsuitable for some high-net-worth investors, depending on their financial goals, risk tolerance level, age, and investment portfolio.

Some Investors Lose Big As ETFs, ETNs & Other Structured Products Fail During COVID-19

Published on: June 15, 2020 | by Shepherd Smith Edwards & Kantas, LLP

Structured Product Losses Stun Retail Investors Who Should Never Have Been Told By Brokers To Buy Them

The recent market turbulence caused by the coronavirus has caused many investors’ portfolios to suffer huge losses, and nowhere is this more evident as the losses suffered by those who invested heavily in structured products, including exchange-traded notes (ETNs) and exchange-traded funds (ETFs).

And while yes, no one could have anticipated COVID-19 battering the economy and the markets, for many investors, they likely shouldn’t have and wouldn’t have gotten involved in these complex investments were it not for the recommendation of their stockbroker.