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Stern and Company, as well as a majority interest in United Planners Financial Services of America. The insurer also acquired Tower Asset Management and Sorrento Pacific Financial.
At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to: Financial product failures Stockbroker fraud Negligence Overconcentration Unsuitability Investment adviser misappropriation Misrepresentations and omissions Elder financial abuse Breach of fiduciary duty Failure to supervise Churning ...
The Colorado Securities Act is supposed to ensure that financial professionals who offer and sell securities in the state are properly licensed.
The Florida Office of Financial Regulation is the state’s regulator regarding the securities industry. The Florida Securities Investor Protection Act (FSIPA) Act, also known as Florida’s Blue Sky Laws, are the state’s securities laws.










