Broker Negligence Attorneys Tag Archives

Broker Negligence Attorneys

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

iCapital VRF Investors in Texas May Be Adversely Impacted After MSRP Recovery/LifeWallet Losses. Our Houston Broker Negligence Attorneys Are Investigating Rockefeller Financial, Ex-Broker Samuel Frankfort, and Others That May Have Sold This Investment

Shepherd Smith Edwards and Kantas Broker Negligence Attorneys (investorlawyers.com) is investigating claims of losses involving iCapital VRF that may have impacted Texas investors, in particular those in the Houston area. Our Houston broker misconduct law firm is looking at Rockefeller Financial, including former financial advisor Samuel David Frankfort, and any other brokers that may have sold this investment to customers.

Rockefeller Financial is a subsidiary of Rockefeller Capital Management, which partnered with iCapital to give Rockefeller clients access to certain kinds of investment opportunities. Many of Rockefeller Financial’s customers are wealthy investors.

Broker Negligence Attorneys

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

Shepherd Smith Edwards and Kantas Broker Negligence Attorneys Investigates Losses Involving Commonwealth Income and Growth Funds I-VIII

Our Broker Negligence Lawyers Want To Speak With Investors

If you are someone that sustained losses in any of the Commonwealth Income and Growth Funds, Shepherd Smith Edwards and Kantas Broker Negligence Attorneys (investorlawyers.com) would like to offer you a free, no-obligation case assessment. There are some concerns that brokerage firms may have engaged in alleged negligence when marketing and selling these alternative investments.

California Broker Negligence Attorneys

Published on: August 22, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Fired Oppenheimer Broker Zachary Taylor Under Scrutiny Following Unauthorized Trading Allegations

Our Skilled California Broker Negligence Attorneys Are Investigating Investor Losses Involving This Newport Beach Financial Advisor

If you suffered significant losses while working with former Oppenheimer stockbroker Zachary Ellis Taylor, please contact Shepherd Smith Edwards and Kantas team of California Broker Negligence Attorneys (investorlawyers.com) today. Taylor, who was fired by the broker-dealer in May 2023, has been accused of alleged unauthorized trading in a client’s account. He is now a registered Saxony Securities financial advisor and also does business as 9Dot Wealth.

Broker Negligence Attorneys

Published on: March 16, 2023 | by Shepherd Smith Edwards & Kantas, LLP

What Are Some Red Flags In Brokerage Account Statements That May Indicate Possible Investment Fraud?

Our Skilled Broker Negligence Attorneys Can Help Assess Whether You Have Grounds For A Securities Lawsuit

It can be hard to know for certain whether you have been the victim of broker misconduct or negligence. This is where Shepherd Smith Edwards and Kantas (investorlawyers.com) can step in. For more than three decades, we have helped thousands of investors, including retail investors, retirees, senior investors, high-net-worth individual investors, institutional investors, and others, determine whether their investment losses are due to the actions, or lack thereof, of their financial advisors. More than 90% of the clients we have represented have received full or partial damages for the harm they have suffered at the hands of their broker-dealers.