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Our Trusted Broker Fraud Lawyers Are Here To Help

Former clients of barred broker James Walesa have recovered over $26M in settlements related to unsuitable private placement recommendations and undisclosed conflicts of interest involving Clearday (formerly AIU). Investors who suffered losses can still seek recovery by filing a FINRA arbitration claim against the brokerage firms that previously employed him. 

Customers who suffered serious losses while working with ex-financial advisor James Thadeus Walesa already have received more than $26M in settlements. However, more investor lawsuits remain pending and even more claims could be filed. Shepherd Smith Edwards and Kantas (investorlawyers.com) is here to help you explore your legal options.

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We Represent Illinois Investors Whose Brokers Unsuitably Recommended Investments That Collapsed

When a financial product collapses due to broker misconduct, misrepresentation, or lack of due diligence, affected investors may have grounds to recover their losses through FINRA arbitration. Shepherd Smith Edwards and Kantas is a Chicago financial product failure law firm offering experienced legal representation to help Illinois investors hold negligent broker-dealers accountable and seek financial recovery.

For more than 35 years, Shepherd Smith Edwards and Kantas (investorlawyers.com) has been fighting for investors throughout The Windy City and the rest of the Prairie State in pursuing their losses caused by a financial product that failed. While there is never a guarantee of how any investment will perform, there may be grounds for pursuing losses if broker misconduct or negligence was involved.

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Shepherd Smith Edwards and Kantas Is Representing This Elderly Investor

Shepherd Smith Edwards and Kantas has filed a FINRA arbitration claim seeking up to $5 million from Cetera Investment Services on behalf of a 75-year-old Taiwanese investor alleging unsuitability and overconcentration in Northstar Financial Services (Bermuda). Because recovering funds directly from the defunct offshore entity is unlikely, the firm is helping international and U.S. investors pursue financial recovery by holding the brokerage firms that sold these unsafe products accountable.

Once again, our Northstar Financial Services (Bermuda) loss attorneys have filed a claim on behalf of an non-US citizen against Cetera Investment Services. This time, the Claimant is a 75-year-old who lives in Taiwan. His US broker was Hui “Celia” Zhang, who he is accusing of making unsuitable investment recommendations and overconcentrating a large portion of his assets in this now defunct offshore entity.

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Our Delaware Statutory Trust Lawyers Are Here To Help Investors Explore Their Legal Options

Our DST investment loss recovery attorneys are currently investigating brokerage firms like McDermott Investment Services for unsuitably recommending or failing to disclose high fees associated with the Internacional Gatsby Delaware Statutory Trust. If you suffered financial losses in this offering, our experienced securities team can evaluate your claim and assist you in recovering funds through FINRA arbitration.

If you are an investor who suffered losses in Internacional Gatsby Delaware Statutory Trust (DST), please call Shepherd Smith Edwards and Kantas (investorlawyers.com) right away. We are investigating McDermott Investment Services and other brokerage firms that may have unsuitably sold this Regulation D offering or made misrepresentations and omissions about the risks.

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SEC Issues Permanent Bar Follow Elder Financial Abuse Allegations

Our elder financial abuse lawyers are actively investigating claims against former broker Clarice Saw following allegations that she misappropriated $2.4 million from an elderly client. If you or a loved one suffered serious portfolio losses while working with Clarice Saw, our team can help you evaluate your legal options for recovering your funds.

If you are an investor who sustained serious portfolio losses while working with now fired Coastal Equities financial advisor Clarice Crystal Saw, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) right away. The US Securities and Exchange Commission (SEC) sued Saw for allegedly defrauding an elderly client of $2.4M and won. Our elder financial abuse lawyers are looking into these allegations as well as whether other customers were similarly harmed.

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Allegations of Unsuitable Investment Recommendations Involving This Private Equity Real Estate Investment

The law firm Shepherd Smith Edwards and Kantas is investigating brokers who unsuitably recommended risky, illiquid Participant Capital private equity real estate funds to retail investors, potentially driven by high commissions of up to 10%. Following a recent FINRA arbitration award of nearly $460,000 against a broker-dealer over Participant Capital losses, the firm is offering contingency-based legal representation to help affected investors recover their funds.

If you are an investor who suffered losses in Participant Capital Growth Fund, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. We are continuing to investigate claims that brokers may have unsuitably recommended this alternative investment, and other Participant Capital products, including Participant Capital Fund I, to customers.

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Contact Shepherd Smith Edwards and Kantas If Your Broker Left Out Or Misstated Important Information And You Suffered Investment Losses

Shepherd Smith Edwards and Kantas represent Colorado investors who have suffered portfolio losses due to false statements, misleading advice, or undisclosed information from their financial advisors. Their experienced Denver securities attorneys help victims navigate FINRA arbitration to hold negligent or fraudulent brokers accountable and recover their investments.

As an investor who hires a financial advisor, you want to know that you can trust them to give you sound financial advice, as well as disclose all material facts that you need so you can make the right decisions for you and your money. Unfortunately, broker misrepresentations and omissions remains a serious problem that can cause investors to suffer portfolio losses.

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We Represent Investors Whose Brokers Failed to Prioritize Their Financial Interests When Making an Investment Recommendation

As a premier Denver Regulation Best Interest Law Firm, Shepherd Smith Edwards and Kantas represents Colorado investors who suffered financial losses due to broker-dealer misconduct. Their experienced securities attorneys help clients hold financial advisors accountable under SEC Reg BI rules and pursue recovery through FINRA arbitration.

If you are a Colorado investor who suffered portfolio losses, and you are wondering whether your broker disregarded your best interests, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. Our Denver Regulation Best Interest lawyers have more than 100 years of collective experience representing claimants against broker-dealers and investment advisers.

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Contact Our Broker Negligence Lawyers Today To Explore Your Legal Options

This news article highlights potential claims for investors who suffered losses in the TriLinc Global Impact Fund, a high-risk emerging-market SME lender that recently stopped paying dividends and failed to file required financial reports. Shepherd Smith Edwards and Kantas Broker Negligence Lawyers are investigating broker-dealers for potential negligence, misconduct, or failure to disclose these risks to clients, offering representation in FINRA arbitration to recover damages.

If your broker sold you TriLinc Global Impact Fund (TGIF) as an investment opportunity, and you are concerned about your money after it stopped paying dividends, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you. Our securities law firm is investigating claims of stockbroker misconduct and negligence that may warrant you suing your financial advisor for your losses.

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Allegations of Financial Troubles, as Well as Unsuitable Investment Recommendations by Brokers, Raise Concerns

The law firm Shepherd Smith Edwards and Kantas is investigating brokers for potentially unsuitable recommendations and due diligence failures related to the $182M CAI Investments Manufacturing Essential Asset DST. The investigation follows reports that the real estate offering suspended monthly dividend payouts, requested additional capital from investors, and faces a foreclosure lawsuit on its primary Illinois facility.

If you are an investor who suffered losses in a CAI Investments Manufacturing Essential Asset Delaware Statutory Trust (DST), contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We are looking into allegations of unsuitability and due diligence failures by the brokers that recommended and sold this Regulation D offering to customers.

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