Are You An Investor Who Suffered Portfolio Losses While Working With Ex-LPL Broker Buddy Dean Mason?

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

Shepherd Smith Edwards and Kantas FINRA Arbitration Is Investigating

Our Delaware Statutory Trust Recovery Attorneys at Shepherd Smith Edwards and Kantas FINRA arbitration are actively investigating brokerage firms that recommended high-risk, illiquid Zero Coupon OH Fulfillment DST investments to conservative investors and retirees. These specialized securities lawyers assist affected clients in evaluating their legal options and pursuing financial recovery for unreturned capital and improper sales practices through FINRA arbitration.

The Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Buddy Dean Mason after he would not provide records in its investigation into a customer complaint accusing him of selling away. Mason, who stepped down from working as an LPL Financial advisor earlier this year, agreed to the bar without denying or admitting to the findings.

Northstar (Bermuda) Investor Sues Cetera Investment Services For Up to $500,000

Published on: October 1, 2026 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Is Representing This Chinese Investor In FINRA Arbitration

A Chinese retiree living in Texas is suing Cetera Investment Services for up to $500,000 in FINRA arbitration after losing his life savings in Northstar Financial Services (Bermuda). Represented by Shepherd Smith Edwards and Kantas, the investor alleges the brokerage firm and his advisor improperly recommended the risky offshore product, which is now in bankruptcy following its owner’s conviction for annuity fraud.

A Chinese national who resides in the United States has filed a broker misconduct lawsuit against Cetera Investment Services over losses he sustained in Northstar Financial Services (Bermuda). This Claimant contends that he entrusted his retirement savings to the brokerage firm and its financial advisor Helen Mei, who spoke his native language.

Senior Financial Exploitation Loss Attorneys

Published on: January 6, 2025 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Arbitration Panel Orders Wells Fargo Advisors To Pay $3.4M To Investor

Broker-Dealer Accused of Negligence That Allegedly Enabled Elder Financial Exploitation

A three-person FINRA Dispute Resolution Services panel awarded one investor $3.4M in damages and costs over losses his now-deceased mother sustained while working with Wells Fargo Advisors and its financial advisor Stephen Lyndell Smith. The claimant, who filed his broker fraud lawsuit in 2023, alleged negligence, breach of contract, breach of fiduciary duty over the broker-dealer’s purported “inaction” to stop unauthorized trades in the account of an older investor in declining health, and more.

FINRA Arbitration Attorneys

Published on: October 30, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas FINRA Arbitration Attorneys Secures $100,000 FINRA Arbitration Award Against TDAmeritrade

Our Client, An Older Investor, Was Defrauded By Scammers Through His Accounts With TDAmeritrade, now Charles Schwab & Co.

Our Texas elder financial abuse attorneys are pleased to announce that we have obtained a roughly $100,000 FINRA arbitration award for an Austin investor who lost much of his life savings after scammers managed to take money from his accounts with TDAmeritrade. The firm has since merged with Charles Schwab & Co.

FINRA arbitration Law Firm

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

Tokyo Couple Sues Bankoh and Broker Yoko Farias Over Northstar (Bermuda) Losses

Our Northstar Financial Services (Bermuda) Investment Recovery Lawyers Are Representing International Investors

In yet another FINRA arbitration claim, more Japanese investors are suing Bankoh Investment Services and its registered representative Yoko K. Farias over the losses they experienced in Northstar (Bermuda). In their six-figure lawsuit, the Tokyo couple is alleging overconcentration, unsuitable investment recommendations, misrepresentations and omissions, and gross lack of supervision. The Shepherd Smith Edwards and Kantas FINRA arbitration Law Firm are representing these international investors and others against both Bankoh and Farias.

FINRA Arbitration Attorney

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

For Northstar Financial Services (Bermuda), Fixed-Rate Annuity Investors Filing A Broker Fraud Lawsuit May Be Only Option. Bermuda Supreme Court Order Deems That Fixed Account Holders Will Likely Recovery Nothing From Liquidation

In its July 28, 2023 ruling, The Supreme Court of Bermuda concluded that Northstar Financial Services (Bermuda) did not use any methods to keep track of or identify which funds or assets belonged to fixed-rate annuity policyholders. Because of this, there are no segregated funds for these investors to recover from the liquidation proceedings. What this means is, barring a separate legal claim for breach of contract against the insurer, these investors will likely receive nothing. The FINRA Arbitration Attorney team at SSEK are helping these investors.

This is all the more reason why Northstar (Bermuda) fixed-rate annuity investors need to explore their other legal options with Shepherd Smith Edwards and Kantas (investorlawyers.com) today. Since 2020, when Northstar Financial Services (Bermuda) filed for bankruptcy, we have been going after the brokerage firms that allegedly unsuitably recommended this offshore entity, misrepresented and omitted the risks, or overconcentrated investors’ accounts with these investments. Our clients include both fixed-rate annuity investors and variable-rate annuity investors from Latin America and Asia who have suffered significant losses in what many of them were told were safe, low-risk investments.

FINRA Arbitration Law Firm

Published on: June 6, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Wins $953K FINRA Arbitration Award Against Crown Capital Securities

Investors Suffered Losses in GPB, Non-Traded REITS, & Oil and Gas

Shepherd Smith Edwards and Kantas (investorlawyers.com) are pleased to announce that a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $953,364K in their broker-dealer negligence lawsuit against Crown Capital Securities. The claimants had suffered losses in the following investments:

What Can Investors Expect During the FINRA Arbitration Process

Published on: December 30, 2022 | by Shepherd Smith Edwards & Kantas, LLP

The FINRA Arbitration Process

You’ve spoken with an experienced FINRA arbitration law firm that has determined your investor losses are due in part because of broker misconduct or negligence. You’ve decided to retain the services of skilled securities arbitration lawyers to help you sue your broker-dealer and maybe even their financial advisor for damages.

Like many investors, you may not be familiar with the FINRA arbitration process and want to know more about it and what to expect.

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.

What Should Investors Know About The FINRA Arbitration Process?

Published on: September 14, 2022 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd, Smith, Edwards, and Kantas Has Been Fighting For Investors for Over 30 Years

If you are an investor looking to pursue financial recovery for your investment losses caused by unsuitable investment recommendations, misrepresentations and omissions, unauthorized trading, or other grounds, there is a very good chance that you signed an agreement with your broker-dealer in which you both consented to resolve any disputes through the Financial Industry Regulatory Authority (FINRA) arbitration process. You may not have realized this at the time, but with that agreement, you essentially gave up your right to sue your brokerage firm and their financial advisor in court.

This is where Shepherd, Smith, Edwards, and Kantas’ securities lawyers (investorlawyers.com) can help. Our skilled FINRA lawyers have been fighting for investors for years and this includes representing our clients before panels of arbitrators all over the United States.