Investor Lawyers Blog

FINRA Lawsuit Lawyer Assistance

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

Should You Sue Your Broker-Dealer Over Your Investor Losses From Morgan Stanley’s Covered Call Options Strategy?

Broker-Dealer Ordered To Pay$11.5M After Losing FINRA Lawsuit

A Financial Industry Regulatory Authority (FINRA lawsuit) arbitration panel has ordered Morgan Stanley to pay one investor $11.5M in damages over losses sustained by using a covered call options strategy. The panel’s ruling also awarded the claimant $157,656.81 in costs and $400 in arbitration fees.

Structured Note Loss Lawyers

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

Structured Note Loss Lawyers

Did You Suffer Serious Investor Losses in JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return?

If you suspect that you unsuitably recommended and sold JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return (SPGCCLP) and you sustained serious investment losses, you may be able to file a Financial Industry Regulatory Authority (FINRA) lawsuit against your broker-dealer if alleged brokerage firm negligence or fraud was involved. This particular structured product is a complex, illiquid investment and too risky for most retail customers, including conservative retirees and inexperienced investors. It may even be unsuitable for some high-net-worth investors, depending on their financial goals, risk tolerance level, age, and investment portfolio.

Institutional Investment Attorneys

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

Is Your Broker Responsible for Your Institutional Investor Fraud Losses?

How Our Seasoned Institutional Investment Attorneys Can Help

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent institutional investors against their broker-dealers in pursuing damages for losses sustained due to broker negligence or fraud. Determining whether you should sue your brokerage firm for misconduct is always challenging even if you are an experienced investor, which is why you should speak with our savvy institutional investment attorneys today.

Securities Fraud Law Firm

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

What Are High-Yield Bonds?

Our Skilled Securities Fraud Law Firm Can Help If You Have Suffered Junk Bond Losses

High-yield bonds, also known as junk bonds, are non-investment grade bonds. They are usually put out by issuers that have been given a low rating by credit rating agencies and are considered at risk of not paying interest or giving back an investor’s principal upon maturity. Examples of potential issuers are former investment-grade companies that are in financial trouble or are too highly leveraged and emerging companies looking for working capital to help with expansion.

Seasoned GWG L Bond Investor Loss Attorneys

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

Seasoned GWG L Bond Investor Loss Attorneys

Filing Your Own Individual FINRA Lawsuit Maximizes Your Chances for Full Financial Recovery

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing investors who have suffered serious losses in GWG L Bonds against their broker-dealers. Unfortunately, a slew of regional brokerage firms appear to have unsuitably sold these life settlement-backed bonds to customers, including many retail investors and retirees, in what is now being called an alleged “classic” Ponzi scam. Visit GWG Holdings, Inc. for more information.

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.