Investor Lawyers Blog

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.

Stockbroker Misconduct Attorneys

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

Are You An Investor Who Sustained Portfolio Losses While Working With Former Edward Jones Broker Lincoln Mason?

Our Seasoned Stockbroker Misconduct Attorneys Are Investigating

Shepherd Smith Edwards and Kantas Stockbroker Misconduct Attorneys (investorlawyer.com) are speaking to former customers of former financial advisor Lincoln Lucas Mason. Suspended by the Financial Industry Regulatory Authority (FINRA) in 2024 for 90 days, and discharged by Edward Jones in 2021, Mason is no longer a broker or investment adviser.

Reg D Private Placement Fraud Attorneys

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

Inspired Healthcare Capital Investors May Have Suffered Serious Losses. Our Reg D Private Placement Fraud Attorneys Are Investigating.

If you are an investor whose broker marketed and sold you an Inspired Healthcare Capital private placement, and you have since sustained significant related portfolio losses, Shepherd Smith Edwards and Kantas (investorlawyers.com) wants to talk to you.

The private equity and alternative investment sponsor has suspended its investment offerings and stopped investor distributions. Meanwhile, the US Securities and Exchange Commission (SEC) is conducting a regulatory review into this alternative investment company.

Kentucky Failure To Supervise Law Firm

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

Lexington, Kentucky Failure To Supervise Law Firm

Our Kentucky Broker Negligence Lawyers Have Been Representing Investors For Decades

Throughout the Bluegrass State, the Shepherd Smith Edwards and Kantas Kentucky Failure To Supervise Law Firm (investorlawyers.com) offers robust securities representation and personalized attention to investors who have suffered losses because of lax or poor supervision by brokerage firms. Contact our Lexington, KY securities law office to schedule a free, no-obligation case consultation.

Failure To Supervise Attorneys

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

For Investors Who Suffered Losses While Working With Ex-Stifel Broker Chuck Roberts, There Is Still Time To Explore Your Legal Options. Contact Our Broker-Dealer Failure To Supervise Attorneys Today

Former financial advisor Chuck Roberts is no longer a Stifel Nicolaus & Co. broker or investment adviser. Meanwhile, the Financial Industry Regulatory Authority has barred him from the industry.

Roberts, an industry veteran of 35 years—and until recently a star Stifel stockbroker—consented to the bar after refusing to continue with the self-regulatory organization’s (SRO) probe into allegations involving him. Roberts came under scrutiny over structured product losses by his customers.

Broker Misconduct Law Firm

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

Massachusetts Investor Files Stock Loss Claim Against B Riley Wealth Management (FKA National Securities Corp. )

Claimant Is Suing For Up to $1M in Damages Involving Intelsat Stock (INTEQ) And Alleges Pump and Dump, Overconcentration By the Broker

In the FINRA lawsuit that the Shepherd Smith Edwards and Kantas Broker Misconduct Law Firm (investorlawyers.com) is representing, an elderly investor is suing B Riley Wealth Management (FKA National Securities). Our client, who is from Massachusetts, contends that his then-advisor Ali Barry Mahlooji, overconcentrated his account in Intelsat Sa(INTEQ) stock and took part in what appears to be an alleged pump and dump scam.

Private Equity Fund Loss Attorneys

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

Merrill Lynch Ordered To Pay $3.7M for Private Equity Feeder Fund Losses Involving Investments Sponsored by Blackstone, Apollo And More

Two Customers Alleged Negligence, Breach of Fiduciary Duty When Suing Broker-Dealer

Earlier this month, a FINRA arbitration panel ruled that Merrill Lynch must pay $3.7M for losses sustained by two customers in private equity investments. The award included $2.7M in compensatory damages and $995K in legal fees.

Private Placement Loss Attorneys

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

AGM Capital Fund Investor Sues Momentix Capital (FKA Traderfield Securities)

Ex-Brokers Vincent Camarda and James McArthur Are Also Respondents In Six-Figure Securities Fraud Lawsuit

In FINRA Arbitration, the Shepherd Smith Edwards and Kantas Private Placement Loss Attorneys (investorlawyers.com) are representing a New York investor in his investment loss recovery claim against Momentix Capital (FKA Traderfield Securities) and former brokers Vincent Jerome Camarda and James Edward McArthur. The claimant is pursuing up to six figures in damages for losses he sustained in the AGM Capital Fund.