Shepherd Smith Edwards and Kantas Is Investigating B Riley Broker William Mitchell Lefkowitz Over Investor Losses

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

Our Stockbroker Loss Lawyers Represent Claimants In FINRA Arbitration

The law firm Shepherd Smith Edwards and Kantas is investigating B. Riley Wealth Management financial advisor William Mitchell Lefkowitz following a $1 million FINRA lawsuit alleging broker misconduct, including churning, unsuitable trading, and a conflict of interest involving his wife as a trustee. The firm is actively seeking to represent other investors who may have suffered losses under Lefkowitz’s management or due to a lack of firm supervision.

If you suffered investment losses while working with B Riley Wealth Management financial advisor William Mitchell Lefkowitz, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com). This longtime financial advisor of 40 years is under scrutiny following allegations of broker misconduct.

Investor Wins More Than $1.2M In Her Variable Annuity Case Against UBS Financial Services

Published on: May 21, 2026 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Arbitration Panel Finds Broker-Dealer Liable For Compensatory Damages and Other Costs

A FINRA arbitration panel ordered UBS Financial Services to pay a widow over $1.2M in compensatory damages and costs after ruling that the firm was liable for losses sustained in her variable annuity case. The law firm Shepherd Smith Edwards and Kantas highlights this victory to demonstrate how their experienced FINRA Attorneys can help investors recover losses caused by broker misconduct and negligence.

UBS Financial Services must pay a widow more than $1.2M after a FINRA arbitration panel ruled in the Claimant’s favor. She had sued the brokerage firm over losses in a variable annuity that she bought using her retirement money.

UBS Must Pay $92M FINRA Arbitration Award Over Unsuitable High-Risk Tesla Short Strategy, Says Judge

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

FINRA Awards Are Considered Final, Which Is Why Investors Should Hire Seasoned FINRA Attorneys To Represent Their Case

A federal judge recently upheld a $92M arbitration award against UBS, reinforcing the reality that FINRA decisions are final and extremely difficult for brokerage firms to vacate. To navigate this high-stakes legal forum, investors should retain seasoned FINRA Attorneys who understand how to secure and protect multi-million dollar recoveries.

U.S. District Judge Stephanie M. Rose rejected UBS Financial Services’ efforts to vacate a $92M Financial Industry Regulatory Authority (FINRA) arbitration award imposed against the brokerage firm after several of its customers sued over what they contend was an unsuitable, aggressive, short-selling strategy involving Tesla (TSLA) stock.

Illinois FINRA Attorneys

Published on: May 1, 2023 | by Shepherd Smith Edwards & Kantas, LLP

From Our Chicago Securities Law Offices, our Illinois FINRA Attorneys Represent Investors Against Broker-Dealers

For more than 30 years, Shepherd Smith Edwards, and Kantas (investorlawyers.com) have been fighting for investors throughout Illinois in helping them to pursue the damages they are owed from the brokerage firms that caused their investment losses. This includes representing them in FINRA arbitration, which is where such claims against broker-dealers and their registered representatives are usually brought.

Our trusted Illinois FINRA law firm knows how devastating it can be to suffer serious portfolio losses, which is why we are here to help. We work with retail investors, retirees, senior investors, accredited investors, high-net-worth individual investors, ultra-high-net-worth individual investors, and institutional investors that were the victims of broker misconduct or negligence.

Denver FINRA Attorneys

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

Representing Colorado Investors In Their Securities Fraud Lawsuits Against Brokerage Firms

With our securities law office conveniently located in Denver’s North Capitol Hill close to the Central Business District, Shepherd Smith Edwards and Kantas (investorlawyers.com) represent investors throughout the region in their FINRA arbitration claims against the brokerage firms and financial advisors responsible for their investment losses. Contact us today to request your free, initial no obligation case assessment.

Entrusting a broker-dealer to save and grow your portfolio is a big decision, and it can be devastating to know that the financial fiduciaries you placed your faith in engaged in negligent or wrongful actions that caused you to lose money. It is why our skilled Denver FINRA lawyers are here to help.

Western Colorado FINRA Attorneys

Published on: February 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Represents Investors Against Brokerage Firms

With our securities law office located in Ridgway, our trusted FINRA lawyers represent investors throughout the Western Colorado Slope, including Telluride, Steamboat Springs, Grand Junction, Cortez, Gunnison, and Moffat in recouping damages from their brokerage firms and financial advisors. Unfortunately, investment losses caused by stockbroker negligence or misconduct happen way too often, which is why Shepherd Smith Edwards and Kantas (investorlawyers.com) has dedicated its entire law practice to helping retail investors, retirees, elderly investors, wealthy investors, institutional investors, and others to pursue financial recovery through arbitration, litigation, and mediation.

What Is FINRA Arbitration and How Might Our Experienced Western Colorado FINRA Attorneys Help?

Why You Want To Work With Our Skilled FINRA Attorneys

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

Recoup Your GPB Investor Losses in Securities Arbitration

If you are an investor who suffered losses in GPB Capital Holdings, you may be able to sue your broker-dealer for unsuitably recommending these private placements that allegedly were part of a more than $1.7B Ponzi scam. Unfortunately, over 17,000 investors, including many retail customers and older retirees, were purportedly persuaded by their broker-dealers that investing in one of the GPB Funds was a solid investment opportunity. Instead, they have suffered significant investment losses. Meanwhile, GPB Capital’s key executives are facing regulatory and criminal charges along with lawsuits brought by investors.

Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing GPB Capital investors in the Financial Industry Regulatory Authority (FINRA) arbitration against the broker-dealers that sold private placements in one or more of the GPB Funds to customers. Some of these brokerage firms have even been subject to related regulatory sanctions.