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New York FINRA Lawyer

Published on: October 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Our FINRA Lawyers Continue To Investigate Investor Losses Involving Ex-RBC Capital Markets Broker Brian Wurdemann

Working With A Trusted Broker Fraud Law Firm Can Maximize Your Chances For Financial Recovery

For the past two years, Shepherd Smith Edwards and Kantas (investorlawyers.com) has been looking into claims of losses involving investors who worked with former RBC Capital Markets financial advisor Brian Wurdemann. The ex-New York broker was permanently barred by the Financial Industry Regulatory Authority (FINRA) last year and then suspended by the self-regulatory organization earlier this year.

San Francisco FINRA Attorneys

Published on: October 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

San Francisco FINRA Attorneys

Representing Northern California Investors In Their Arbitration Cases Against Brokerage Firms

For over 30 years, our San Francisco FINRA lawyers have been representing investors in The Golden State against broker-dealers and their financial advisors all over the United States. We have securities law offices conveniently located in San Francisco and San Diego, and we work with retail investors, retirees, elderly investors, accredited investors, high-net-worth individual investors, and institutional investors throughout California.

Alternative Investment Loss Lawyers

Published on: October 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Did You Suffer Serious Losses in Alternative Investments Recommended By Your Broker? Fired Investment Network Broker Vincent Pucciarelli Under Scrutiny Following Alleged Pre-IPO Private Placement Sales

If you are an investor who sustained significant losses in pre-IPO private placements that were sold to you by former New Jersey financial advisor Vincent Pucciarelli, please contact Alternative Investment Loss Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com). The ex-Investment Network stockbroker, who was fired by the brokerage firm in August, also was barred by the Financial Industry Regulatory Authority (FINRA) after he refused to testify in an ongoing investigation into his purported selling of these alternative investments.

Pre-IPO private placements—also called pre-IPO investments/pre-IPO funding—are investments made in a company prior to when its shares are placed on a stock exchange through an initial public offering. It is important to know that pre-IPO private placements can be complex and high-risk investments.

Broker-Dealer Negligence Attorneys

Published on: October 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Investor Alert! Andrew Jacobus Alleged $200 Million Ponzi Scheme

Are you a victim of Andrew Jacobus and his alleged Ponzi scheme? Shepherd Smith Edwards & Kantas Broker-Dealer Negligence Attorneys are Representing Investors Against those who facilitated this scheme, including suing Interactive Brokers

If you invested money with former Florida registered investment adviser Andrew Jacobus (Jacobus) of FINSER Asset Management and FINSER International Corporation or invested through one of Jacobus’ other enterprises, such as Kronus Financial or the Corfiser SIMI Fund B.V., you may be able to pursue damages against those who allegedly facilitated his fraud. For example, many investors held accounts with Jacobus through firms like Interactive Brokers LLC (Interactive Brokers) and Charles Schwab & Company, Inc. (Schwab). Our investigation has uncovered that those broker-dealers unwittingly enabled Jacobus to target his victims and allegedly steal almost all of the funds left in safekeeping with those firms.

Overconcentration Loss Attorneys

Published on: October 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

How Can I Recover My Investment Losses Caused By Overconcentration?

Morgan Stanley Ordered To Pay Senior Investor $1.8M

If your financial advisor placed too much of your funds in one particular stock or kind of investment, you may be able to pursue damages from the broker-dealer. The best way to do this is to work with seasoned overconcentration lawyers who can file your investment loss recovery lawsuit for you.

New York Investor Lawyers

Published on: October 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

New York Investor Lawyers

Our Buffalo, NY Investment Loss Recovery Law Firm Has Been Providing Solid Securities Representation Since 1990

If you are a New York investor who has suffered losses to your portfolio while working with a broker or investment adviser, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. For over 30 years, we have been helping clients throughout the state to pursue the damages they are owed because of financial advisor misconduct or negligence.

Elder Financial Abuse Lawyer

Published on: October 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Older Investor Whose Broker Failed to Protect You From Investment Fraud?

Our Knowledgeable Elder Financial Abuse Attorneys Represent Senior and Elderly Retirees In Pursuing Damages

According to a new study by the FINRA Investor Education Foundation and Rush University Medical Center, seniors are more vulnerable than previously thought to financial scammers pretending they belong to a bogus government agency. Out of 644 older adults in the Chicago area with an average age of 85.6, 16.4% of them took part “without skepticism” in live calls and emails between October and December 2021. Almost 75% of them gave out their personal information, including the last four numbers of their Social Security ID.

Mutual Fund Attorneys

Published on: September 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

ACAP Fund Losses

If you are an investor who suffered losses due to your financial advisor recommending you invest in the ACAP Strategic Fund, you may have a case against your advisor to recover some of those losses. Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you explore your legal options for ACAP Strategic Fund losses.

What is the ACAP Fund?

Stock Broker Fraud Lawyer

Published on: September 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

I’m An Experienced, Wealthy Investor Who Suffered Serious Portfolio Losses. Can I Sue My Broker?

Our Trusted Stock Broker Fraud Lawyer Team Represented Sophisticated Investors, Accredited Investors, High-Net-Worth Investors, and Ultra High-Net-Worth Investors

Shepherd Smith Edwards and Kantas (investorlawyers.com) Stock Broker Fraud Lawyer team represents wealthy and experienced investors in pursuing damages caused by broker negligence or fraud. If you are a sophisticated investor, your broker-dealer may try to argue that you fully understood the type of investment opportunity you were getting involved in and the risks you were taking. They may even argue that you welcomed the high risks that could also render great financial rewards while knowing full well that serious losses could result. Based on this argument they may try to escape blame and liability.

Private Placement Lawyers

Published on: September 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

I’m An Older Investor. How Can I Recover My GWG L Bonds Losses?

Our Seasoned Private Placement Lawyers Can Help You Determine Whether You Have Grounds for Financial Recovery

More than a year after GWG Holdings defaulted on $2B in debt and filed for bankruptcy protection, it has become increasingly clear that much more could have been done to notify investors that the company was in financial trouble. Instead, thousands have been left with what could end up collectively being up to $1.3B in losses in a purported mass Ponzi scam.