Investor Lawyers Blog

UBS Group Ordered to Pay $5.5M To Investor For Alleged Stock Option Mismanagement

Published on: February 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

A FINRA arbitration panel ordered UBS Financial Services to pay $5.5M to a client for the improper handling of Compass Inc. shares and options during its 2021 IPO. The article highlights UBS’s history of high-value losses in litigation and invites affected investors to seek recovery through Shepherd Smith Edwards and Kantas.

Broker-Dealer Held Liable Over Handling of Investor’s Portfolio

A FINRA arbitration panel has ordered UBS Financial Services (UBS) to pay $5.5M to one client over its allegedly improper handling of his shares and options in real estate brokerage firm Compass Inc. around its 2021 initial public offering. The claimant happens to be a Compass real estate broker. He accused the brokerage firm of breach of fiduciary duties, deliberate and negligent misrepresentations, Regulation Best Interest violation, negligence, and other broker misconduct involving UBS’ recommendations and management of his portfolio.

Dallas, TX Financial Product Failure Law Firm

Published on: February 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas is offering legal representation to Texas investors who have suffered significant financial losses due to product failures, fraud, or broker misconduct. The firm specializes in recovering assets through FINRA arbitration by investigating claims of unsuitable recommendations, lack of due diligence, and negligent supervision by brokerage firms.

Are You A Texas Investor Whose Suffered a Failed Investment That Was Sold To You By A broker?

The Shepherd Smith Edwards and Kantas Financial Product Failure Law Firm represents investors throughout Texas who suffered losses because of a financial product failure. Contact our Dallas securities law firm if you want to explore your legal options.

Judge Recommends Upholding of $133M Arbitration Awards Against Stifel Financial

Published on: February 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

A federal magistrate judge has recommended upholding a historic $133 million FINRA arbitration award against Stifel Financial, rejecting the firm’s attempt to vacate the ruling related to former broker Chuck Roberts. The article details how Roberts allegedly misled wealthy clients into high-risk structured note strategies, leading to massive losses and his permanent bar from the financial industry.

The Claimants Of This Investment Loss Recovery Case Worked With Former Broker Chuck Roberts

A federal magistrate judge is recommending that a federal trial court judge reject Stifel Financial’s motion to vacate the $133M arbitration award it was ordered to pay to clients of former Stifel financial advisor Chuck Roberts. The claimants are a family that sued Stifel broker-dealer subsidiary Stifel, Nicolaus & Co for $5M in damages over structured note losses. The award granted is significantly greater.

What Inspired Healthcare Capital Investors Should Know About The Company’s Bankruptcy

Published on: February 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Inspired Healthcare Capital (IHC) has filed for Chapter 11 bankruptcy, leaving many private equity funds and Delaware Statutory Trust (DST) investors facing significant financial losses. The law firm Shepherd Smith Edwards and Kantas is actively filing arbitration claims against brokerage firms, such as Emerson Equity, for allegedly making unsuitable recommendations and failing to disclose the high risks and fees associated with these alternative investments.

Shepherd Smith Edwards and Kantas Represents IHC Investors Against Broker-Dealers

Earlier this month, senior living private equity firm Inspired Healthcare Capital (IHC) filed for Chapter 11 bankruptcy protection. The news left many IHC Fund and Delaware Statutory Trust (DST) investors in the lurch and scrambling to recover their money.

Did You Suffer SBLOC Strategy Losses While Working With Former Morgan Stanley Broker Patricia Holder?

Published on: February 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas SBLOC Investor Lawyers May Be Able To Help

The law firm Shepherd Smith Edwards and Kantas is investigating claims against former Morgan Stanley broker Patricia Holder regarding allegations of unsuitable recommendations involving risky Securities-Backed Lines of Credit (SBLOC). The article encourages affected investors to seek a free legal consultation to explore potential recovery options for portfolio losses caused by these high-risk borrowing strategies.

If you sustained serious portfolio losses while working with ex-Morgan Stanley stockbroker Patricia P. Holder, contact us today to request your free case consultation. Shepherd Smith Edwards and Kantas SBLOC Investor Lawyers (investorlawyers.com) are investigating the broker fraud allegations made against her.

Former Florida Investment Advisor Andrew Jacobus Sentenced Over $94M Ponzi Scam

Published on: February 19, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Continues To Represent Investors Who Suffered Losses as a result of Andrew Jacobus

Andrew Hamilton Jacobus (Jacobus), the ex-Florida investment adviser who pleaded guilty to running a $94M Ponzi-style scam, was sentenced to 20 years in prison. Prosecutors contend that Jacobus defrauded at least 70 investors, including a number of Venezuelan nationals. Jacobus misappropriated investors’ money for his own use while paying earlier investors with newer investors’ funds in Ponzi -like fashion. This investment scam, which ran for almost 20 years, involved Jacobus promising to place his victims’ money in purportedly safe investments that generated high returns. Jacobus falsified documents and forged account statements to conceal his fraud.

Shepherd Smith Edwards and Kantas Broker Negligence Lawyers (investorlawyers.com) represent those who were harmed in Jacobus’ Ponzi fraud against the brokerage firms that enabled Jacobus’ wrongful actions, typically because of their own negligence.

Are You An Inspired Healthcare Capital Investor Wondering What To Do After The Bankruptcy Filing?

Published on: February 19, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Contact Our Inspired Healthcare Capital Recovery Lawyers Today

If you suffered losses in Inspired Healthcare Capital (IHC), including one of its Funds or Delaware Statutory Trust (DST) offerings, the time to explore your legal options is now. The alternative asset firm, and its more than 160 affiliate entities, filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the Northern District of Texas. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing dozens of Inspired Healthcare Capital investors all over the United States in pursuing their investment losses from the brokerage firms and financial advisors that persuaded them to put money into IHC Funds and DSTs.

Why Should Inspired Healthcare Capital Investors Be Worried?

Attn: Versity DST Investors, You May Be Able To Recoup Your Losses From Your Broker

Published on: February 19, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Enterprises Recovery Lawyers Are Representing Claimants in FINRA Arbitration

In the wake of the $56M fraud allegations against Versity Investments (Crew Enterprises), our investment loss recovery law firm is continuing to speak to investors of this alternative asset firm and its various offerings. There are growing concerns that Versity/Crew Enterprises misappropriated investors’ money.

A List of Versity Investment Private Placements and Delaware Statutory Trusts:

Dallas Misrepresentations and Omissions Law Firm

Published on: February 19, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Representing Texas Investors Whose Brokers Gave Them Inaccurate, False, or Incomplete Facts and Information About An Investment or Strategy

Shepherd Smith Edwards and Kantas (investorlawyers.com) works with Lone Star State investors who have suffered losses due to misrepresentations and omissions made by their financial advisor. Contact our Dallas securities law firm today if you are an investor who would like to explore your legal options.

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Are You A University Park Berkeley JV Investor Who Is Worried How The Property Foreclosure Will Affect Your Money?

Published on: February 19, 2026 | by Shepherd Smith Edwards & Kantas, LLP

The Time To Explore Your Legal Options With One of Our Trusted Investor Losses Attorneys Is Now

If you are an investor who suffered losses in University Park Berkeley JV, LLC, contact Shepherd Smith Edwards and Kantas Investor Losses Attorneys (investorlawyers.com) today. Unfortunately the property involved is now foreclosed, which could mean investment trouble for you.

What is University Park Berkeley, JV?