Investor Lawyers Blog

Structured Product Loss Attorneys

Published on: February 1, 2024 | by Shepherd Smith Edwards & Kantas, LLP

INVESTOR ALERT: Clients of Stifel Nicolaus Financial Advisor Chuck Roberts File $38,100,000 In Broker Fraud Lawsuits.

SSEK Structured Product Loss Attorneys Represents Structured Product Investors in Pursuing Damages

More than one year, after our investment loss recovery lawyers began investigating claims of losses by customers of Stifel, Nicolaus stockbroker Chuck A. Roberts, the number of FINRA arbitration claims filed by those seeking damages, has skyrocketed. According to Roberts’ CRD, there are at least 16 pending investor loss cases involving this financial advisor and the money being sought is now collectively over $38,000,000. There are 21 disclosures in total on his record. Meantime, Roberts remains a registered representative with Stifel where he has worked as a broker and/or investment adviser for the last seven years. Reports indicate that he is based out of New York City and/or Miami Beach, Florida.

Northstar Bermuda Loss Attorneys

Published on: February 1, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Chinese Investors File Northstar (Bermuda) Lawsuit For Over $5 Million Against Cetera.

Our Northstar Bermuda Loss Attorneys Represent Foreign Nationals in The US and Abroad Against Broker-Dealers

In our latest Northstar Financial Services (Bermuda) loss lawsuit against Cetera Investment Services, Shepherd Smith Edwards and Kantas (investorlawyers.com) are representing two Chinese citizens, one living in the US and one abroad, in their more than $5M annuity loss claim that was brought in Financial Industry Regulatory Authority (FINRA) arbitration.

Private Placement Loss Attorneys

Published on: January 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Cambridge Investment Research Under Scrutiny For Alleged ICap Investment Sales. Our Private Placement Loss Attorneys Are Continuing To Investigate Investor Losses

Brokerage firms are supposed to look out for their clients’ best interests. This includes conducting the proper due diligence into any investment that they market and sell to investors and only recommending a security, trade, or financial product if it is suitable for a customer given their investing profile, financial goals, risk tolerance level, and other key factors.

Unfortunately, a slew of brokerage firms allegedly engaged in misconduct or negligence when they promoted iCap securities to clients. Shepherd Smith Edwards and Kantas (investorlawyers.com) is investigating these broker-dealers, including Cambridge Investment Research, over growing concerns of liability for investor losses.

Margin Abuse Attorneys

Published on: January 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Continue to Investigate Oppenheimer PEP Losses. Contact Our Savvy Margin Abuse Attorneys To Request Your Free Case Consultation

If you are someone whose Oppenheimer financial advisor marketed and recommended the brokerage firm’s Portfolio Enhancement Program (PEP), and you have since suffered related investment losses, Shepherd Smith Edwards and Kantas (investorlawyers.com) would like to talk to you. Unfortunately, it seems that a significant number of wealthy investors may not have been fully apprised of the risks involved in this proprietary program.

Oppenheimer PEP is now closed but not before investors reportedly suffered serious losses. Marketed as a hedged investment that provided a chance for participants to supposedly make an additional 5% if they borrowed money on margin, the minimum investment allowed was $1.25M. Many who got involved thought they were giving themselves a chance to generate a passive stream of income.

Broker Misconduct Lawyer

Published on: January 15, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Novice Investor Sues Centaurus Financial Over Silver Star Properties REIT and Other Losses. Shepherd Smith Edwards and Kantas Broker Misconduct Lawyer Files Six Figure FINRA Lawsuit for Claimant

Once again, our trusted alternative investment loss attorneys are suing Centaurus Financial on behalf of an investor. The claimant, who is an inexperienced investor, worked with financial advisor Timothy Neil Tremblay and is now seeking up to $500K in damages involving real estate investment trusts (REITs), including Silver Star Properties REIT, and a business development company.

This is not the first customer dispute involving this Centaurus broker and investment adviser, who works out of Santa Barbara, CA, and also runs Tremblay Financial Services. According to Timothy Tremblay’s CRD, in addition to already settled investment loss recovery claims accusing him of broker misconduct, there are at least two other pending FINRA lawsuits in which his customers are alleging that he made unsuitable investment recommendations. One of the claimants is asking for $800K. In August 2023, the US Securities and Securities and Exchange Commission (SEC) filed a regulatory case accusing Tremblay of Best Interest violations.

Unsuitability Loss Attorneys

Published on: January 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Broker Unsuitably Recommend Tingo Stock?

SEC Charges Founder And Affiliates With Massive Scam

Shepherd Smith Edwards and Kantas (investorlawyers.com) is speaking to investors of Tingo Group (TIO), Tingo International Holdings, and Agri-Fintech Holdings, as well as Nigerian operating subsidiaries Tingo Mobile Limited and Tingo Foods. The company’s CEO Mmobuosi Odogwu Banye (also known as Dozy Mmobuosi) and his US affiliates are being charged by the US Securities and Exchange Commission (SEC) in connection with an alleged multi-year scam that may have defrauded investors of hundreds of millions of dollars. The US entities are believed to have made billions of dollars in false transactions through the Nigerian subsidiaries. The regulator contends that Mmobuosi allegedly tried to sell Tingo Mobile to public companies by using valuations that were grossly inflated by over $1B.

REIT Loss Lawyers

Published on: January 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Despite Reassurances of a Turnaround by Silver Star Properties REIT, Investors Should Be Wary. Our Seasoned Non-Traded REIT Loss Lawyers Continue To Offer Free Case Assessments

Despite receiving a letter from Silver Star Properties claiming that it anticipates a successful exit from Chapter 11 bankruptcy by its subsidiary Hartman SPE—and the non-traded real estate investment trust’s (non-traded REITs) ongoing efforts to sell legacy commercial assets and focus on self-storage assets—investors still have reasons to be concerned about when, or if, they will get their money back. The fact that the non-traded REIT defaulted on $217M of a loan that was due in October is also not optimistic news—not to mention that the US Securities and Exchange Commission’s (SEC) regional office in Fort Worth, TX has launched an investigation. However, as a non-traded REIT investor, what you still can do is explore your legal options.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing Silver Star Properties REIT investors in pursuing damages from the broker-dealers that marketed and sold them this non-traded real estate investment trust. Contact us today to schedule your free, no obligation case consultation.

Mississippi Financial Advisor Fraud Attorneys

Published on: January 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Our Mississippi Financial Advisor Fraud Attorneys Has Been Fighting For Investors Since 1990

Suffering investment losses can be devastating whether you are a retail investor, a high-net-worth sophisticated investor, or an institutional investor. At Shepherd Smith Edwards and Kantas (investorlawyers.com) we represent investors throughout Mississippi in recovering their portfolio losses that were caused by financial advisor misconduct or negligence. Contact us today to request your free, no-obligation case assessment.

I’m a Mississippi Investor. How Do I Know If I’m The Victim of Financial Advisor Fraud?

Louisiana Financial Advisor Fraud Lawyers

Published on: January 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Louisiana Financial Advisor Fraud Lawyers

From Our New Orleans Law Offices, We Work With Investors To Recoup Their Investment Losses

Shepherd Smith Edwards and Kantas (investorlawyers.com) work with individual and institutional investors throughout the state to help them obtain the financial recovery they are owed by financial advisors who have committed fraud, engaged in some other type of misconduct or were negligent. With over 100 years of combined experience in securities law and the securities industry, our Louisiana financial advisor misconduct attorneys have the skills, knowledge, and savvy to help you.

Hedge Fund Fraud Lawyers

Published on: January 8, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Am I The Victim of Hedge Fund Fraud?

Our Hedge Fund Fraud Lawyers Represent Investors of All Experience Levels

If your broker unsuitably recommended that you invest in a hedge fund and you suffered serious losses, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. These private investment pools of participants’ money ideally should only be marketed to sophisticated investors with a lot of money. High-risk and often lacking transparency, hedge funds are generally not appropriate for retail investors, inexperienced investors, and conservative retirees. Yet, because there are investment companies that invest in hedge funds—less experienced investors can become exposed to them.