Investor Lawyers Blog

Broker-dealer Negligence Lawyers Assist Investors Neglected by Aegis

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

Are You an Investor Who Suffered losses in Aegis Capital-Underwritten YayYo IPO?

Broker-Dealer Faces Investor Fraud, Negligence, and Misrepresentation Allegations

If you are an investor who took part in an initial public offering (SPO) sold by Aegis Capital Corp. and you suffered investment losses, you may want to consider exploring your legal options. Stock IPOs are often marketed by brokerage firms as significant opportunities for investors, but that doesn’t always prove to be the case.

Should You File a FINRA Arbitration Claim Over Private Placement Sale Losses?

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

Broker-Dealer Negligence Alleged Related To Investor Losses Tied to GPB Auto and GPB Holdings II

Should You File a FINRA Arbitration Claim Against Sanctuary Securities Over Your GPB Private Placement Sale Losses?

If you are someone whose Sanctuary Securities broker recommended that you invest in GPB Capital Holdings private placement funds, you may be able to file a Financial Industry Regulatory Authority arbitration claim or FINRA arbitration claim for your losses. The broker-dealer is one of the dozens of US-based firms accused of unsuitably recommending and selling GPB Capital Holdings private placement shares, in particular those involving GPB Automotive Portfolio, LP, and GPB Holdings II, LP, to customers.

Why You Should Hire Experienced Investor Lawyers to Represent You

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

What Should You Do If You Suspect That You Were The Victim of Investment Fraud or Negligence by Your Broker?

Our Investor Lawyers At Shepherd Smith Edwards and Kantas May Be Able To Help

If you are an investor who lost money because your financial advisor committed broker fraud or was in breach of their fiduciary duty, you may be able to obtain compensation for your losses. Our seasoned Investor Lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) have spent decades working with retail customers, retirees, and wealthy investors in pursuing damages from brokerage firms and their financial advisors.

How Can A Seasoned Bond Fraud Losses Law Firm Help You?

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

What Should You Do If You Are A GK Investment Holdings 7% Bond Investor?

JCC Advisors and Other Broker-Dealers May Have Unsuitably Sold This Investment To Customers

Earlier this year, GK Investment Holdings, LLC (GKIH) sent a letter to investors warning that if 90% of them failed to trade in their current 7% Bonds with “new bonds,” which would extend the bonds’ maturity date, the old bonds would likely go into default. This could delay the repayment of bondholders’ principal or render the company unable to pay back their principal at all. GKIH cautioned that it could end up having to file for bankruptcy even. All of these possible outcomes are highly concerning for investors given that they could stand to lose money.

What Are the Common Signs of Investment Fraud

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

What Are Common Signs of Investment Fraud and How Can Our Investor Attorneys Help?

Red Flags May Help Identify When You Have Become The Victim of Fraudulent Activities

If you are someone who has suffered significant losses to your investment or retirement funds, it is important that your financial advisor explains to you what happened. Unfortunately, all too often there are investors, including retirees, who will have sustained financial losses due to poor account mismanagement, broker negligence, or securities fraud.

Raymond James Pays $500K After Broker is Accused of Elder Financial Abuse

Published on: October 6, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Raymond James Pays $500K After Broker is Accused of Elder Financial Abuse

Broker-Dealer Allegedly Failed To Supervise Ex-Stockbroker Frederick Stow Who Stole Older Investors’ Money

Unfortunately, elder financial abuse continues to be a huge problem. In many instances, the perpetrators have been financial professionals, including those who are registered brokers at well-known brokerage firms. If you (or someone you love) are a senior investor who has suffered losses that you suspect may be caused by broker misconduct or negligence, it is important that you explore your legal options right away.

SSEK Represents Northstar Financial Services (Bermuda) Investor Arbitration Claims

Published on: October 6, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Continues To Represent Northstar Financial Services (Bermuda) Investors With Brokerage Firm Arbitration Claims

Our expert Northstar Financial Services (Bermuda) Brokerage Firm Arbitration attorneys at Shepherd Smith Edwards and Kantas are continuing to investigate claims by investors seeking to recover losses they sustained in this obscure, offshore entity. Many of these claimants are retail customers and retirees. All of them are foreign nationals from Asia, Latin America, South America, or Central America who sought a safe haven for their assets in the United States. Instead, their broker-dealers unsuitably recommended Northstar (Bermuda) products, which lack the kinds of protections that come with US-based investments.

Broker Negligence May Have Caused Investors From All Over The World To Be Unsuitably Recommended Northstar (Bermuda) Products

Why GWG L Bond Investors Should Contact An Experienced FINRA Arbitration Lawyer

Published on: October 6, 2022 | by Shepherd Smith Edwards & Kantas, LLP

The Importance of Filing Your Own FINRA Arbitration Case

If you are an investor who has suffered losses in GWG L Bonds, you are likely trying to determine what to do next. Just because GWG Holdings has filed for bankruptcy protection doesn’t mean you stand to recover anything from these proceedings. This is why it is so important that you speak with a seasoned FINRA arbitration law firm so that we can help you explore your legal options with you.

Already, our FINRA arbitration attorneys at Shepherd Smith Edwards and Kantas (investorlawyers.com) are representing many investors who suffered losses because their broker-dealers unsuitably recommended GWG L Bonds to them. These junk bonds were always too high-risk for retail customers and retirees. Yet these two types of investors are among the ones now needing to recover damages.

Atlas Growth Partners Investors May Be Able To Recoup Losses

Published on: September 28, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Broker-Dealers May Have Unsuitably Sold This Risky Investment To Retail Customers and Retirees

If your broker recommended that you purchase shares in Atlas Growth Partners, LP, you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker-dealer. Unfortunately, according to the limited partnership’s filings with the US Securities and Exchange Commission (SEC), Atlas Growth investors may have lost nearly 99% of their principal. Not only that, but after raising more than $230M from thousands of investors, as of March 31, 2021, the company was only able to report net assets of under $4M. This means that Atlas Growth investors could be looking at more than $200M in losses.

Our Texas oil and gas securities lawyers at Shepherd Smith Edwards and Kantas (investorlawyers.com) are working with Atlas Growth Partners investors, including many retail investors and retirees, that were unsuitably sold shares in this company. Please contact us today at (800) 259-9010 so that one of our securities attorneys can help you explore your legal options.

Did Your Joseph Stone Capital Broker Excessively Trade in Your Account?

Published on: September 22, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Customers Who Are The Victims of Churning May Be Able To Recover Damages

The Financial Industry Regulatory Authority (FINRA) has ordered Joseph Stone Capital and a number of its registered representatives to pay $1M in restitution for allegedly excessively trading in customers’ accounts. This includes $825K in restitution from the broker-dealers and $211K from eight current and ex-Joseph Stone brokers, all of whom have been suspended.

Three Joseph Stone supervisors were also suspended for allegedly not doing enough to identify or address red flags warning of this purported broker misconduct. Two other Joseph Stone representatives were barred for not responding to FINRA’s requests for more information in its investigation.