Investor Lawyers Blog

Brokerage Firm Negligence Law Firm

Published on: April 26, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Our Brokerage Firm Negligence Law Firm is Investigating Barred LPL Broker John Matson

Elderly Investor Called FINRA Helpline for Seniors to Complain

If you suffered significant portfolio losses while working with former LPL Financial stockbroker John Nicholas Matson, Shepherd Smith Edwards and Kantas (investorlawyers.com) can help you determine whether you have grounds for a legal claim. Nicholas, who was barred from the industry in December 2022, and fired by the broker-dealer the month before, has been accused by a former elderly client of recommending a promissory note from which the latter later stopped receiving interest payments that were purportedly promised.

Alternative Investment Fraud Lawyers

Published on: April 25, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Customers of Berthel Fisher Sought $32.1M in Damages From Brokerage-Dealer

Our Experienced Alternative Investment Fraud Lawyers Are Investigating Investor Losses

According to the yearly audited financial statement submitted by Berthel Fisher to the US Securities and Exchange Commission (SEC) in March, the broker-dealer concluded 2022 with about $32.1M in pending investor loss claims. While it is unclear which investments were specifically involved, as InvestmentNews reported, Berthel Fisher has a long history of selling alternative investments to customers. On multiple occasions, these investment recommendations were investors for whom these were allegedly unsuitable given their financial goals.

Louisiana FINRA Attorneys

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Our New Orleans Broker Fraud Law Firm Represents Bayou State Investors

Throughout Louisiana, the Shepherd Smith Edwards and Kantas Louisiana FINRA Attorneys (investorlawyers.com) represent clients who are seeking to recover damages from the broker-dealers and financial advisors responsible for their losses. This usually entails filing a FINRA lawsuit against a financial firm on behalf of an investor in a bid for damages.

Proving that your investor losses were caused by broker misconduct can be tough, and going through FINRA arbitration is not the same as going to court. This is just one reason why you want to work with savvy securities fraud attorneys that not only understand how this forum works but also have a record of successful case outcomes in this kind of legal venue.

Broker Dealer Negligence Attorney.

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Former Morgan Stanley Broker Darryl Cohen Allegedly Defrauded NBA Stars of Over $13M

Our Trusted Broker Fraud Lawyers Are Investigating Claims of Investor Losses

The Shepherd Smith Edwards and Kantas Broker Dealer Negligence Attorney teams (investorlawyers.com) are continuing to speak to former customers of ex-Morgan Stanley financial advisor Darryl M. Cohen. He was barred from the industry in 2021.

Broker-Dealer Negligence Lawyers

Published on: April 5, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses In AllianceBernstein’s Options Advantage Strategy?

Our Broker-Dealer Negligence Lawyers Are Investigating Sanford Bernstein Financial Advisors

If you are someone whose financial advisor recommended that you invest in AllianceBernstein’s Options Advantage Strategy and suffered significant investor losses, contact the Broker-Dealer Negligence Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) today so that we can help you explore your legal options. There are growing concerns that Sanford Bernstein brokers may have allegedly misrepresented the risks involved in this complex options trading strategy that was supposed to attract investors looking for “incremental returns” in a low-yield environment. Sanford Bernstein is a registered broker-dealer and a subsidiary of AllianceBernstein, which is a registered investment adviser.

New York FINRA Attorneys

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

New York FINRA Attorneys Representing Investors Against The Largest Broker-Dealers on Wall Street

Shepherd Smith Edwards and Kantas (investorlawyers.com) represent New York investors and others against broker-dealers all over the state, including the biggest Wall Street firms. In addition to our Buffalo securities law office, we have branch offices throughout the United States.

If you live in the Empire States and would like to explore your legal options, contact our seasoned Buffalo FINRA attorneys today to request your free, no-obligation case consultation.

Kentucky FINRA Attorneys

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Kentucky FINRA Attorneys From Our Lexington Securities Law Office, We Represent Investors Against US Brokerage Firms

If you are a Kentucky investor who has suffered serious portfolio losses that you suspect may have been due to the wrongful or negligent actions of your financial advisor, it is important that you speak with a skilled Kentucky FINRA Attorneys right away. At Shepherd Smith Edward and Kantas (investorlawyers.com) we can help you explore your legal options.

With our securities law firm conveniently located in Lexington, we work with investors throughout the state. We represent clients not just against Kentucky-based brokerage firms but also against broker-dealers all over the United States.

Bond Fraud Lawyers

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Why Credit Suisse 7.5% Perpetual AT1 Bond Investors May Want To Explore Their Legal Options

Our Bond Fraud Lawyers Are Investigating Whether Broker-Dealers Committed Due Diligence Failures

With the UBS/Credit Suisse merger resulting in the writing off to zero of $17.2B Credit Suisse contingent convertible bonds (CoCos), investors of the latter’s Credit Suisse 7.500% Perpetual Corp. and its other CoCo bond offerings may have reason to worry. While the merger and resulting write-off of all Credit Suisse AT1 bonds may be reassuring to the Swiss Banking sector, investors of these bonds could be looking at significant losses. Although, it isn’t so much the write-down of the bonds but that the bondholders are not getting any compensation, while the bank’s shareholders are getting paid $3.23B, which is purportedly causing problems.

Broker Misappropriation Attorney

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Alleged Broker Misappropriation Leads To Investor Losses

Ex-Monmouth Capital Management Financial Advisor Caz Craffy Is Accused of Defrauding Military Families

Our trusted broker fraud lawyers work with investors and their families that have sustained losses due to financial advisors or negligence. This includes looking into allegations of misappropriation by financial advisors and whether their broker-dealers should be held liable.

Retirement Loss Lawyers

Published on: April 3, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Are You A Retiree Who Lost Your Life Savings After Investing with a Stockbroker?

Our Skilled Retirement Loss Lawyers Can Help You Determine Whether You Have Grounds For Financial Recovery

Whether you are an elderly investor who has worked for decades to acquire a healthy savings balance or a younger investor preparing for later in life, Shepherd Smith Edwards and Kantas (investorlawyers.com) know how devastating it can be to lose your retirement funds whether due to an adverse event or because your financial advisor was negligent, careless, or purposely misappropriated your funds. As a matter of fact, many of the clients we represent are elderly seniors, younger retirees, and investors who sustained losses to their retirement monies because of investment advisor negligence or broker fraud. Over the years, our knowledgeable retirement loss attorneys have helped thousands of investors to recover damages from brokerage firms.