Broker Fraud Lawyer

SSEK Broker Fraud Lawyer

Published on: June 29, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Former Customers of Barred American Trust Investment Services Broker Austin Dutton May Still Have Time To Sue For Damages. If You Sustained Serious Portfolio Losses While Working With This Ex-Financial Advisor, Contact Our Broker Fraud Lawyer Team Today

Shepherd Smith Edwards and Kantas Broker Fraud Lawyer teams (investorlawyers.com) are investigating claims of investment losses by former customers of Austin Richard Dutton, who was most recently an American Trust Investment Services registered representative.

According to Dutton’s CRD, there have been more than 30 investor loss recovery claims involving him. The Financial Industry Regulatory Authority permanently barred Dutton from in June 2024.

Broker Fraud Lawyer

Published on: May 19, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Investor Seeks Up $1M In Damages Over UBS YES Losses. Our Broker Fraud Lawyer Are Representing This Claimant and Others Against UBS Financial Services

The Shepherd Smith Edwards and Kantas Broker Fraud Lawyer Team (investorlawyers.com) is representing another investor in their UBS Yield Enhancement Strategy (YES) loss lawsuit against UBS Financial Services. The claimant, an inexperienced New Jersey investor, is suing for up to $1M in damages. Unfortunately, she is just one of many who have suffered significant losses in the brokerage firm’s internally managed, high-risk options trading strategy.

Touted by UBS brokers as a way for investors to obtain marginally higher yields on existing portfolios while taking limited risks, the UBS YES program has caused serious losses for many of the firm’s wealthy clients. Its “iron condor” options overlay approach was allegedly implemented with reckless abandon.

Broker Fraud Lawyer

Published on: June 29, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Colorado Bankers Life Insurance Holders Should Speak With A Skilled Annuity Loss Lawyer

NC Appeals Court Rules Insurance Magnate Greg Lindberg Is Liable for Fraud

A unanimous North Carolina Court of Appeals panel has ruled that Colorado Bankers Life Insurance owner Greg Lindberg is liable for fraud and breach of contract related to the now insolvent insurers that he bought in 2014. He could end up having to pay hundreds of millions of dollars. The appellate judges overruled the 2022 ruling by a trial judge who had decided not to award damages. Now, the civil lawsuit will go back to a trial court where the “proper remedy” will be decided. The plaintiffs include Lindberg’s companies: