Investor Lawyers Blog

Why You Want To Work With Our Skilled FINRA Attorneys

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Recoup Your GPB Investor Losses in Securities Arbitration

If you are an investor who suffered losses in GPB Capital Holdings, you may be able to sue your broker-dealer for unsuitably recommending these private placements that allegedly were part of a more than $1.7B Ponzi scam. Unfortunately, over 17,000 investors, including many retail customers and older retirees, were purportedly persuaded by their broker-dealers that investing in one of the GPB Funds was a solid investment opportunity. Instead, they have suffered significant investment losses. Meanwhile, GPB Capital’s key executives are facing regulatory and criminal charges along with lawsuits brought by investors.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing GPB Capital investors in the Financial Industry Regulatory Authority (FINRA) arbitration against the broker-dealers that sold private placements in one or more of the GPB Funds to customers. Some of these brokerage firms have even been subject to related regulatory sanctions.

What Can Investors Expect During the FINRA Arbitration Process

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

The FINRA Arbitration Process

You’ve spoken with an experienced FINRA arbitration law firm that has determined your investor losses are due in part because of broker misconduct or negligence. You’ve decided to retain the services of skilled securities arbitration lawyers to help you sue your broker-dealer and maybe even their financial advisor for damages.

Like many investors, you may not be familiar with the FINRA arbitration process and want to know more about it and what to expect.

Broker Negligence: How to Determine if You Are a Victim

Published on: December 13, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Northstar Financial Services (Bermuda) Were Unsuitably Recommended to Retirees and Seniors

Over the past two years, our experienced investor loss attorneys have been astounded to discover how many US-based brokerage firms committed broker negligence by unsuitably recommending and selling Northstar (Bermuda) investments to foreign nationals seeking a safe haven for their assets. One can only assume that these broker-dealers and their financial advisors were lured in by the high commissions and fees they could earn from selling products from this obscure, offshore entity to clients who had been clear from the start about wanting to take on little-to-no risk.

Mexico Investor Files Seven-Figure FINRA Lawsuit Against Infinex Investments

What To Do If You Suffered Investor Losses in Private REITs?

Published on: December 7, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Filing a FINRA Lawsuit May Help Investors Recoup Private REIT Losses

Texas Investor Alleges Unsuitability and Other Broker Misconduct Against Calton and Associates

Once again, Shepherd Smith Edwards and Kantas (investorlawyers.com) have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim on behalf of an investor who has suffered losses in Private REITs. The claimant is a Texas resident nearing retirement.

SSEK Securities Lawyers Continue to Fight For Investors

Published on: December 7, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Our Seasoned Securities Lawyers Continue to Fight For GWG L Bond Investors

Resignations of GWG Holdings CEO and CFO Are Latest Upset To Hit Beleaguered Alternative Asset Firm

GWG Holdings, Inc. CEO/President Murray T. Holland and CFO/Treasurer Timothy L. Evans recently resigned as the company’s executives. The two men stepped down in mid-November 2022 after an internal review found that other ex-board members’ worries about one investment were allegedly disregarded. Holland and Evans, however, remain on the alternative asset firm’s board.

Horizon Private Equity Ponzi Fraud Lawyers Helping Investors

Published on: December 7, 2022 | by Shepherd Smith Edwards & Kantas, LLP

SSEK Ponzi Fraud Lawyers

What Should You Do If You Suffered Losses in This Alleged $110M Investment Fraud?

More than 400 investors have suffered losses in the alleged Horizon Private Equity Ponzi Scam involving ex-Oppenheimer & Co. broker John Woods. A few months ago, a Financial Industry Regulatory Authority panel ordered the broker-dealer to pay a number of investors $36.7M for allegedly failing to properly supervise Woods and for other, purported related broker-dealer negligence.

Brokerage Firm Arbitration Lawyers Investigating Herbert J. Sims

Published on: December 7, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Reg D Securities Losses Can Be Caused by Broker Negligence

Our Brokerage Firm Arbitration Lawyers Are Investigating Herbert J. Sims (HJ Sims) After Regulation D Offerings Fail

Regulation D (Reg D) private placements are private securities offerings. These alternative investments are risky, often illiquid investments and exempt from having to register with the US Securities and Exchange Commission (SEC). Reg D offerings are primarily suitable for sophisticated, high-net-worth individual investors and institutional clients.

Are You An Investor Who Owns High-Risk Investments?

Published on: December 7, 2022 | by Shepherd Smith Edwards & Kantas, LLP

What You Should Know To Make Sure Your Brokers Are Properly Managing Your Assets

Any time you invest, you are taking on a degree of risk. Some investments are significantly more high-risk than others. Just because a financial product comes with risks doesn’t necessarily mean you should stay away. Many High-Risk Investments vehicles can increase your returns much more than conservative, low-to-no-risk investments.

However, high-risk investments are not suitable for every investor, including most retail customers, conservative investors, retirees who are dependent on their life savings, and inexperienced investors. Most of these individuals don’t qualify as “accredited investors,” which is what you need to be if you want to get involved in many risky investment products. One of the main reasons for this is that with the opportunity for higher returns often comes a greater risk to your money and not everyone can handle huge financial losses. (Unfortunately, there are financial advisors who will still opt to recommend and sell certain risky investment products to investors, including non-accredited investors, even when they are unsuitable for them. The incentive of high commissions and fees has been known to override some brokers’ fiduciary obligation to look out for clients’ best interests.)

Investment Loss Lawyer Team Representing Investors

Published on: December 7, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Northstar Financial Services (Bermuda) Investors Receive New Liquidation Update

On November 15, 2022, Northstar (Bermuda) policyholders were sent an update regarding the liquidation proceedings involving the offshore company, which filed for bankruptcy in December 2020. Many investors are still struggling to recoup their losses.

The letter stated that the Joint Provisional Liquidators (JPLs) are continuing to look into “loan assets and settlements of loan/preferred equity in affiliated entities,” and also at “assets and potential claims” against US-based parties. The JPLs have needed more time to investigate Northstar Financial Services (Bermuda)’s financial affairs.

Parking REIT Investors May Be Able to File FINRA Lawsuits

Published on: December 1, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Many Appear To Have Lost Over 50% of Their Investment in Alleged Non-Traded REIT Scam

Our non-traded real estate investment trust (non-traded REIT) investor losses attorneys are investigating The Parking REIT (now called Mobile Infrastructure Corp.) for possible investment fraud. If you are a The Parking REIT investor who would like to explore your legal options, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today.

The name change to Mobile Infrastructure Corp. occurred in late 2021. The Parking REIT is no longer a real estate investment trust nor does it have to distribute funds to stockholders any longer.