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Articles Tagged with Broker Misconduct Attorney

Broker Misconduct Attorney

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

Are You An Investor Who Suffered Losses While Working With Broker Bill Shopoff?

California Financial Advisor Who Paid $42 Million in Settlements Is Accused of Running Ponzi Scam

The Shepherd Smith Edwards and Kantas (investorlawyers.com) Broker Misconduct Attorney teams are investigating claims involving Irvine, CA stockbroker William Anthony Shopoff (Bill Shopoff) of Shopoff Securities. According to his CRD, this financial advisor has paid investors more than $40 million in settlements since 2018. This includes a $28,750,000 settlement, a $6,500,000 settlement, and other seven-figure settlements related to puts and guarantees that were sold to sophisticated, accredited investors.

Broker Misconduct Attorney

Published on: February 7, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Did Your Financial Advisor Know Exactly What They Were Selling You?

Our Broker Misconduct Attorney Team Can Help You Assess Whether You Have Grounds For a Legal Claim

If you are an investor who has had the unexpected surprise of sustaining significant losses in an investment that proved to be fraudulent, you may have invested too much in, or was unsuitable for you given your risk tolerance level, you may be wondering how to recoup your losses. Do you go after the issuer of the investment? Does your broker have any liability in this matter?