Did You Suffer Easterly ROCMuni High Income Municipal Bond Fund Losses While Working With Janney Montgomery Scott Broker John Hardiman?

Published on: June 4, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Want To Talk To You

The Broker Fraud Lawyers of Shepherd Smith Edwards and Kantas is investigating Janney Montgomery Scott financial advisor John Thomas Hardiman following the filing of a six-figure FINRA lawsuit involving massive losses in the Easterly ROCMuni High Income Municipal Bond Fund. The claim, filed on behalf of an elderly widow, alleges that Hardiman unsuitably overconcentrated her portfolio in speculative “junk” bond funds despite her conservative investment goals.

If you are an Easterly ROCMuni High Income Municipal Bond Fund investor who worked with Janney Montgomery Scott financial advisor John Thomas Hardiman, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. We are continuing to investigate claims of losses against any financial advisor who sold the Easterly Fund to customers. Already, we have filed many FINRA lawsuits against brokerage firms.

Attn: Investors Who Suffered Serious Losses While Working With Rockefeller Financial Broker Shay Scruggs

Published on: May 18, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Want To Help You Explore Your Legal Options

The law firm of Shepherd Smith Edwards and Kantas is investigating Rockefeller Financial broker Shay Scruggs following a $1M FINRA lawsuit alleging unsuitable investment recommendations. Investors who suffered portfolio losses due to unsuitability or mismanagement are encouraged to contact the firm’s experienced Broker Fraud Lawyers to explore their options for financial recovery.

If you are an investor who suffered serious portfolio losses while working with Rockefeller Financial registered representative Shay W. Scruggs, our broker misconduct lawyers want to talk to you.

Our Broker Fraud Lawyers Are Investigating Former Alexander Capital Broker Roger

Published on: April 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Former Customers Sue For More than $8.9M

Broker fraud lawyers at Shepherd Smith Edwards and Kantas are investigating claims against barred advisor Roger Roemmich following allegations of unsuitable investment recommendations and over $8.9M in losses. Impacted investors may still seek financial recovery through FINRA arbitration by filing claims against the broker-dealers responsible for supervising his conduct.

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are investigating claims of investor losses by former customers of barred broker Roger Allan Roemmich. Most recently an Alexander Capital registered representative, and before that with Dempsey Lord Smith and others, Roemmich was permanently barred by the Financial Industry Regulatory Authority (FINRA) in March 2026.

UBS Group Ordered to Pay $5.5M To Investor For Alleged Stock Option Mismanagement

Published on: February 26, 2026 | by Shepherd Smith Edwards & Kantas, LLP

A FINRA arbitration panel ordered UBS Financial Services to pay $5.5M to a client for the improper handling of Compass Inc. shares and options during its 2021 IPO. The article highlights UBS’s history of high-value losses in litigation and invites affected investors to seek recovery through Shepherd Smith Edwards and Kantas.

Broker-Dealer Held Liable Over Handling of Investor’s Portfolio

A FINRA arbitration panel has ordered UBS Financial Services (UBS) to pay $5.5M to one client over its allegedly improper handling of his shares and options in real estate brokerage firm Compass Inc. around its 2021 initial public offering. The claimant happens to be a Compass real estate broker. He accused the brokerage firm of breach of fiduciary duties, deliberate and negligent misrepresentations, Regulation Best Interest violation, negligence, and other broker misconduct involving UBS’ recommendations and management of his portfolio.

Former Broker James Walesa Is Barred by FINRA

Published on: February 10, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers Continue To Investigate Investor Losses

The Financial Industry Regulatory Authority (FINRA) announced that it has barred former financial James Thaddeus Walesa. His former clients have filed at least 19 investor lawsuits accusing him of making unsuitable investment recommendations, including one case that was concluded with a $9.75M settlement.

Walesa is accused of making inappropriate investment recommendations in businesses that he owned, ran, or directed. So far, at least $18.3M in settlements have been paid by Triad Advisors (now Osaic) or Arkadios Capital. Both are accused of ignoring Walesa’s alleged broker misconduct when he worked with them. Many of the customer disputes involving him remain pending, including a case in which $34,000,000 is being sought.

Did You Suffer Investment Losses in Vintage DST, Which Was Sold To You By Your Financial Advisor?

Published on: February 2, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Our Broker Fraud Lawyers May Be Able To Help

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) are speaking to investors who suffered losses in Vintage Delaware Statutory Trusts (Vintage DST). This private placement Regulation D offering was sponsored by the now-defunct Crew Enterprises (f/k/a Versity Investments). It appears to have been unsuitably recommended to retail investors, retirees, and other unaccredited investors by financial advisors. Vintage DST is a risky, illiquid alternative investment. We are investigating the following brokerage firms or investment advisers that sold this private placement offering:

Aurora Securities

Attention Atlas Funds Investors Who Suffered Losses in These Private Placement Funds

Published on: December 20, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers are Investigating Spartan Capital Securities For Selling These Alternative Investments

If you are an investor who has sustained losses in any of the 346 private placement investments from one of 16 offerings from Atlas Management LLC, including those involving the following, Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) wants to talk to you:

Atlas Fund III Ser B LLC (Klarna)

Selling Away Lawyers

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Former Customer of Ex-Merrill Lynch Broker Greg Whelan Alleged Selling Away Losses. Our Selling Away Lawyers Are Investigating

Selling away can lead to serious investor losses. At Shepherd Smith Edwards and Kantas (investorlawyers.com), our Selling Away Lawyers are speaking to former customers of financial advisor Gregory DePaul Whelan who have experienced portfolio losses that they suspect may involve investments that were never approved by his then-brokerage firm Merrill Lynch, Pierce, Fenner & Smith.

Greg Whelan, who is now a Kovack Securities registered representative, resigned from Merrill Lynch last year following allegations of selling away and conflicts of interest. His CRD notes that at least one customer dispute alleging selling away, unsuitability, and misrepresentations that was filed concluded with a $3.5M settlement. Whelan denies wrongdoing.

Broker Fraud Lawyers

Published on: July 15, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Texas Couple Sues Rockefeller Financial Over Virage (VRF) and Other Alternative Investment Losses. Our Broker Fraud Lawyers Are Representing These Retirees, Who Are Seeking Up To $1M in Damages.

If you are an investor who suffered losses in Virage (VRF), LP, Shepherd Smith Edward, and Kantas Broker Fraud Lawyers (investorlawyers.com) want to talk to you. We recently filed a FINRA lawsuit on behalf of two Texas seniors who are suing Rockefeller Financial for losses they sustained in this limited partnership, as well as in structured notes and other privately traded products that were completely unsuitable for them and not in their best interests. Now, our clients are requesting up to $1M in damages.

The older couple entrusted Rockefeller Financial with their life savings. In their FINRA arbitration case, they contend that then-Rockefeller Financial broker David Frankfort (also known as Samuel David Frankfort) promised to make sound recommendations that were not risky, per their request.

Broker Fraud Lawyers

Published on: June 24, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You An Investor Who Suffered Losses While Working With AG Morgan Financial Advisors, IA Vincent Camarda?

Retail Investors, Including Retirees, Report Devastating Portfolio Losses Related To Alleged AGM Fund Fraud

Shepherd Smith Edwards and Kantas Broker Fraud Lawyers (investorlawyers.com) continue to report claims of portfolio losses while working with Long Island-based investment adviser Vincent Jerome Camarda, who is with AG Morgan Financial Advisor. Camarda’s CRD shows at least 18 pending customer disputes brought over the past 12 months. Collectively, his former clients are seeking more than $23M related to the alleged AGM Fund Fraud.