Investor Lawyers Blog

Dallas Regulation Best Interest Lawyers

Published on: February 12, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Representing Texas Investors Whose Brokers Disregarded Their Best Interests And Caused Them Unnecessary Portfolio Losses

From our Dallas, TX securities law office, Shepherd Smith Edwards and Kantas (investorlawyers.com) represents Lone Star State investors against broker-dealers and investment advisers who sustained serious losses because their financial advisor violated Regulation Best Interest (REG BI) when working with them. This is not the kind of legal claim you want to pursue without seasoned Texas REG BI interest attorneys fighting for you.

What Is Regulation Best Interest And How Is It Supposed To Protect Retail Investors in Texas?

Attn: Easterly ROCMuni High Income Municipal Bond Fund Investors Who Have Sustained Serious Losses. Explore Your Legal Options Now

Published on: February 12, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Easterly ROCMuni Investor Lawyers Have Filed Six- and Seven-Figure Easterly Fund Recovery Claims Against Broker-Dealers That Sold This High-Risk Junk Bond Fund

If you are an investor whose broker unsuitably recommended that you invest in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMHVX), it is imperative that you explore your legal options. This high-risk junk bond fund saw a dramatic drop in price in June 2025 following a fire sale, leaving many investors with serious losses. Already, Shepherd Smith Edwards and Kantas (investorlawyers.com) has filed a number of Easterly Fund loss claims against Stifel, Nicolaus & Co., as well as Osaic Wealth and other brokerage firms.

At one point, holding around $300M in assets in October 2024, the Easterly ROCMuni Fund now has less than $17M in assets. As of December 30, 2025, it reported a Net Asset Value (NAV) of $2.18 along with a -67.70% decline.

Washington State Couple Files Seven-Figure Lawsuit Against Aurora Securities Over Inspired Healthcare Capital Losses

Published on: February 12, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Inspired Healthcare Capital Loss Attorneys are Representing These Retirees in FINRA Arbitration

Two Bellevue, Washington, investors in their sixties are suing Aurora Securities and their former broker, Roger William Bowlin. They are seeking up to $1,000,000 in damages for losses they sustained in Inspired Healthcare Capital Delaware Statutory Trusts (IHC DSTs). These are risky, real estate ventures that are generally unsuitable for retail investors, especially retirees. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these Claimants.

Inspired Healthcare Capital just filed for Chapter 11 Bankruptcy protection, which has put a stop to any lawsuits against the alternative asset firm. Now more than ever, your best chance for financial recovery if you are an IHC investor is to go after the broker-dealer that sold you these Regulation D offerings.

For KBS REIT III Investors, A Net Asset Value Reduction For This Non-Traded REIT May Mean More Trouble

Published on: February 12, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas REIT Investor Loss Lawyers Continues To Investigate

In December 2025, KBS Real Estate Investment Trust III’s board announced its latest Net Asset Value (NAV) of $2.89/common stock share, which is down from $3.89 the year before. This shows a harsh decline in per-share value for this non-traded real estate investment trust.

KBS REIT III is a publicly registered, non-listed real estate investment trust concentrated primarily on US commercial assets involving office spaces. Its management blames low office property values, higher interest rates, sluggish rentals, cash-sweep loan structures, refinancing pressures, and low looming maturities on this latest NAV/share drop. Shepherd Smith Edwards and Kantas (investorlawyers.com) is continuing to investigate potential claims of losses by investors who were sold KBS REIT III investments by a financial advisor.

Escondido, CA Couple Files Six-Figure Inspired Healthcare Capital Lawsuit Against Emerson Equity

Published on: February 12, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Following IHC’s Bankruptcy Filing, Our Delaware Statutory Trust Lawyers Are Continuing To Represent Many Investors Against This Brokerage Firm

If you are an Inspired Healthcare Capital (IHC) investor who was hoping to get your money from your investment back from this alternative asset firm, know that it is highly unlikely, given that IHC has just filed for Chapter 11 bankruptcy protection. What you can do, however, is explore your legal options with one of our skilled IHC Delaware Statutory Trust lawyers to determine whether you have grounds for suing the financial advisor who sold you this alternative investment. Contact the Securities Law Firm of Shepherd Smith Edwards and Kantas (investorlawyers.com) today.

Already, we have filed another investment loss recovery claim on behalf of investors seeking to recoup losses in Inspired Healthcare Capital Delaware Statutory Trusts (IHC DSTs). The claimants are Southern California investors in their 50s. They are seeking up to $500,000 damages from Emerson Equity, which is the managing broker-dealer and underwriter of these Regulation D offerings. Also, Respondents in this IHC loss lawsuit are Emerson Equity control person Dominic Julio Baldini and California broker Gabriel Candea.

Are You An Investor Who Suffered Costly Losses While Working With Former Stifel Broker Jonathan Webster?

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

The Shepherd Smith Edwards and Kantas FINRA Arbitration Law Firm Is Investigating Former Stifel Broker Jonathan Webster

If you sustained serious losses from costly brokerage trades made by ex-Stifel, Nicolaus, & Co. financial advisor Jonathan Mark Webster, contact Shepherd Smith Edwards and Kantas (investorlawyers.com). Webster, a longtime broker of nearly 39 years who was fired by the broker-dealer in 2024, was just suspended by the Financial Industry Regulatory Authority (FINRA) for seven months. He allegedly made trades for 19 clients, including at least 13 seniors, using commission-based brokerage accounts instead of advisory accounts that were fee-based and less costly.

The self-regulatory organization (SRO) contends that from November to December 2023, Webster made this unsuitable recommendation. He allegedly effected a short-term strategy that involved buying stocks in the commission-based accounts. This was a 10-stock approach based on the “January effect,” in which he would buy stocks in December and sell them in January so as to make money from the rise in price he predicted was going to happen. FINRA said that Webster bought the same exact 10 stocks for each of the customers in their brokerage accounts.

Are You An Investor Who Suffered Losses In Red Oak Capital Holdings?

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Contact Shepherd Smith Edwards and Kantas Alternative Investment Loss Recovery Attorneys To Explore Your Legal Options

If you are an investor who suffered losses in any of the following Red Oak Capital Funds, contact us today to schedule your free case consultation:

Red Oak Capital Fund Income Opportunity Fund II

Former Broker James Walesa Is Barred by FINRA

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Continue To Investigate Investor Losses

The Financial Industry Regulatory Authority (FINRA) announced that it has barred former financial James Thaddeus Walesa. His former clients have filed at least 19 investor lawsuits accusing him of making unsuitable investment recommendations, including one case that was concluded with a $9.75M settlement.

Walesa is accused of making inappropriate investment recommendations in businesses that he owned, ran, or directed. So far, at least $18.3M in settlements have been paid by Triad Advisors (now Osaic) or Arkadios Capital. Both are accused of ignoring Walesa’s alleged broker misconduct when he worked with them. Many of the customer disputes involving him remain pending, including a case in which $34,000,000 is being sought.

Ft. Lauderdale Retirees Sue Emerson Equity Over Inspired Healthcare Capital Losses

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Representing This Six-Figure Lawsuit in FINRA Arbitration

Two Florida senior investors are suing Emerson Equity for up to $500,000 in damages for losses they sustained in Delaware Statutory Trusts (DSTs) issued by Inspired Healthcare Capital (IHC). Also named as respondents in their investment loss recovery claim are Emerson Equity broker Patrick Wang Lam and the firm’s Control Person Dominic Julio Baldini.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these Fort Lauderdale retirees in their Inspired Healthcare Capital claim, which we filed for them in Financial Industry Regulatory Authority (FINRA) arbitration. These were risky, illiquid, Regulation D private placement offerings that were unsuitable for these claimants from the start. Emerson Equity should never have marketed and sold IHC DSTs to them.

Inspired Healthcare Capital Bankruptcy: Investor Loss Recovery Options

Published on: February 4, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Investor Alert: Inspired Healthcare Capital Holdings Bankruptcy and What it Means for Investors. Shepherd, Smith, Edwards & Kantas is Representing Dozens of Investors Already in Claims for Losses in Inspired Healthcare Capital Holdings Entities.

On February 2, 2026, Inspired Healthcare Capital Holdings, LLC (“Inspired Healthcare”) filed for Chapter 11 Bankruptcy protection in the Northern District of Texas. Inspired Healthcare filed bankruptcy for itself and 160 of its affiliates and subsidiaries. A Chapter 11 bankruptcy petition is a “business reorganization” procedure, rather than a liquidation procedure. The bankruptcy petitioner uses the process to reorganize its debt obligations and to attempt to work out a plan to emerge as a new company with less debt and able to go forward. Shepherd, Smith, Edwards & Kantas (investorlawyers.com) is working with investors from all over the country to help try and navigate the consequences of this bankruptcy and to recover lost investment funds by filing an investment loss recovery claim against other parties, such as the advisor who sold the Inspired Healthcare investment.

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