{"id":31458,"date":"2026-02-02T17:27:40","date_gmt":"2026-02-02T23:27:40","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=31458"},"modified":"2026-02-02T17:27:40","modified_gmt":"2026-02-02T23:27:40","slug":"securities-attorneys","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/securities-attorneys\/","title":{"rendered":"Sutter Securities Under Scrutiny For Alleged Excessive Trading That Cost 89-Year-Old Millions of Dollars"},"content":{"rendered":"

Shepherd Smith Edwards and Kantas Securities Attorneys are Investigating\u00a0<\/strong><\/p>\n

If you are a Sutter Securities Inc. customer and you suspect your portfolio losses may have been caused by\u00a0excessive trading<\/a>\u00a0by your financial advisor, contact Shepherd Smith Edwards and Kantas (investorlawyers.com<\/a>) today. The brokerage firm is currently the subject of a complaint by the Financial Industry Regulatory Authority\u2019s (FINRA<\/a>) enforcement department, accusing the firm of alleged excessive trading in an elderly retiree\u2019s accounts. This purportedly led to the customer, someone with a moderate risk tolerance level and the objective of long-term growth, to pay more than $2.9M in trading costs and sustain at least $1.2M in realized losses<\/p>\n

The FINRA complaint accuses Sutter Securities of unsuitably recommending and making 2,217 trades in two of this investor\u2019s trust accounts between March 2020 and July 2021. The enforcement division also alleges that :<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Shepherd Smith Edwards and Kantas Securities Attorneys are Investigating\u00a0 If you are a Sutter Securities Inc. customer and you suspect your portfolio losses may have been caused by\u00a0excessive trading\u00a0by your financial advisor, contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. The brokerage firm is currently the subject of a complaint by the Financial Industry Regulatory […]<\/p>\n","protected":false},"author":2,"featured_media":31468,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3762,4055,3741],"tags":[5409],"class_list":["post-31458","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-current-investigations","category-featured-investigation","category-securities-fraud","tag-securities-attorneys"],"yoast_head":"\nShepherd Smith Edwards and Kantas Securities Attorneys<\/title>\n<meta name=\"description\" content=\"Sutter Securities is under fire for alleged churning in a retiree's account. Our securities attorneys help victims recover losses. Call 800-259-9010\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/securities-attorneys\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Shepherd Smith Edwards and Kantas Securities Attorneys\" \/>\n<meta name=\"twitter:description\" content=\"Sutter Securities is under fire for alleged churning in a retiree's account. Our securities attorneys help victims recover losses. 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