Investor Lawyers Blog

Houston Securities Law Office

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

For Texas Investors Who Suffered Losses In iCapital VRF or Virage, The Time To Explore Your Legal Options Is Now

Contact our iCap VRF Investment Losses Attorneys in Houston, TX

Shepherd Smith Edwards and Kantas Houston Securities Law Office (investorlawyers.com) is continuing to speak with Texas investors who suffered losses involving iCapital VRF (AKA as iCap VRF) or Virage. iCap VRF is a feeder fund that is invested in Virage Capital Management.

Northstar Bermuda Fraud Attorneys

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Spanish Citizen Sues Osaic Institutions (FKA Infinex Investments) Over Northstar (Bermuda) Losses. Our Northstar Bermuda Fraud Attorneys Are Representing This Claimant in Their Six-Figure Lawsuit

A Spanish retiree is seeking up to $500K in damages from Osaic Institutions (FKA Infinex Investments) for losses he sustained in Northstar Financial Services (Bermuda). Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing this international investor in FINRA arbitration.

The claimant, who lives in Spain, had an account with Grove Bank & Trust (Formerly known as Coconut Grove Bank) in Florida. This investor was introduced to his then-Infinex Investments broker Alvaro Mauricio Jiron, through the bank. Our client contends that Jiron indicated there was a better way to manage his life savings than to keep them in bank CDs.

Easterly ROCMuni Fund Fraud Lawyers

Published on: August 25, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Brokers That Sold The Easterly ROCMuni High Income Fund To Investors May Have Misrepresented The Risks. Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Fraud Lawyers are Representing Claimants Against Broker-Dealers

Brokerage firms Stifel, Nicolaus & Co., Osaic, Janney Montgomery Scott, and others are currently under scrutiny for selling Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX) to customers. This speculative fund sustained massive losses in June 2025, with its share price dropping from more than $6.00/share to under $3.00/share. With $232M in investments at the end of March, the Fund now holds under $17M.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is offering free, initial, no obligation case consultations to those of you who have suffered losses in the Easterly ROCMuni Fund. Already, in FINRA arbitration, we have filed two separate six-figure bond fraud loss claims against Stifel. One is on behalf of a Colorado investor who worked with broker Timothy Darragh. The other is for a Kentucky investor.

Non-Traded REIT Loss Attorneys

Published on: August 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Couple Sues Emerson Equity for Up To $5,000,000 Over Inspired Healthcare Capital Losses

Retirees Allege Unsuitable Investment Recommendations Of Non-Traded REITs

Shepherd Smith Edwards and Kantas Non-Traded REIT Loss Attorneys (investorlawyers.com) are representing two claimants in their seven-figure FINRA lawsuit against broker-dealer Emerson Equity and its registered representatives Dominic Julio Baldini, Timothy John Sherer, Zhi Ying Guan, and Patrick Wang Lam.

Municipal Bond Fraud Lawyers

Published on: August 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Denver, CO Retiree Sues Stifel, Nicolaus & Co Over Easterly ROCMuni High Income Fund Losses. Our Municipal Bond Fraud Lawyers Are Representing Investors Against This Broker-Dealer

A Colorado retiree is suing Stifel, Nicolaus & Co. for up to $500K over losses he sustained in Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX), which was formerly Principal Street High Income Fund. The claimant, who is an elderly individual, contends that his account was overconcentrated with the Easterly Fund.

He is alleging unsuitability, misrepresentations and omissions, unsuitable investment recommendations, negligence, gross negligence, breach of fiduciary duty, breach of contract, failure to supervise, and more. Shepherd Smith Edwards and Kantas Municipal Bond Fraud Lawyers (investorlawyers.com) are representing this investor and others in their FINRA lawsuits against Stifel and the other brokerage firms that sold this fund.

Colorado Failure To Supervise Law Firm

Published on: August 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Western Colorado Failure To Supervise Law Firm. Representing Investors Who Have Suffered Portfolio Losses Due To Inappropriate Recommendations By A Broker

The Shepherd Smith Edwards and Kantas Colorado Failure To Supervise Law Firm (investorlawyers.com) represents victims throughout Western Colorado whose broker failed to properly supervise their account or financial advisor. Contact our Ridgway, CO securities law office if you are someone who would like to explore your legal options.

https://youtu.be/EF3Fi5-GfDg?si=_zNkygrIPZvgvWPm

San Francisco Unsuitability Attorneys

Published on: August 12, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Our San Francisco Unsuitability Attorneys are Representing Investors Throughout the SF Bay Area and Northern California Against Broker-Dealers

For many investors who decide to hire a financial advisor, it is because they need a professional to help make sound investing choices that are appropriate for them given their investment profile: this may include their financial goals, level of investing experience, age, liquidity needs, tax status, investment objectives, financial situation, the makeup of the rest of their portfolio risk tolerance level, investment time horizon, and more.

Unfortunately, there are brokers that will disregard their obligation to only make suitable investment recommendations to their customers, whether due to ignorance, fraud, negligence,/or the lure of the higher commissions they can earn. This is called unsuitability and is one of the more common causes of unnecessary investment losses.

Kentucky Securities Law Office

Published on: August 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Paducah, Kentucky Investor Whose Stifel Broker Sold You Easterly ROCMuni High Income Fund?

Meet With Our Investment Fraud attorneys in Paducah, Kentucky on Aug 7th-8^th, 2025

If you are a Kentucky investor who lost money in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX) that was marketed and sold to you by a Stifel, Nicolaus & Co. financial advisor, Shepherd Smith Edwards & Kantas (investorlawyers.com) wants to talk to you. We will be in Paducah, KY to meet with you in person.

San Diego Overconcentration Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas San Diego Overconcentration Law Firm Represents Southern California Investors In Recouping Their Portfolio Losses Caused by a Lack of Diversification

For 35 years, our San Diego Overconcentration Law Firm has been representing inexperienced investors, sophisticated investors, accredited investors, wealthy investors, and institutional investors in pursuing losses that occurred because a broker-dealer engaged in excessive concentration in their portfolios.

Throughout Southern California, contact the Shepherd Smith Edwards and Kantas San Diego Overconcentration Law Firm (investorlawyers.com) to explore your legal options and determine whether you have grounds for a claim.

Broker Fraud Law Firm

Published on: August 4, 2025 | by Shepherd Smith Edwards & Kantas, LLP

The Shepherd Smith Edwards and Kantas Broker Fraud Law Firm Continues To Investigate Investor Losses Involving Ex-Hilltop Securities Broker Rajesh Markan.

SEC Bars Ex-Texas Financial Advisor Who Pleaded Guilty Over Pony Private Equity Investments

If you are an investor who suffered losses while working with now convicted former Dallas financial advisor Rajesh Markan, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Our Texas securities law firm represents investors in recouping losses caused by broker misconduct or negligence.