Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: misrepresentations
Results 70-80 of about 327
Date: September 15, 2020
Pending Allegations Likely Involve UBS YES Strategy Frederick Maximillian Kort, a former UBS Financial (UBS) broker, is facing allegations that he made misrepresentations when making unsuitable investment recommendations to customers.
Date: August 24, 2020
The latest claim, brought in June, alleges elder abuse, misrepresentation, excessive trading, and unsuitable investment recommendations. The customer is seeking $250K in damages. Continue Reading ›
Date: June 10, 2020
The investors contend that their UBS broker made misrepresentations and omissions when recommending this unsuitable investment strategy to them and discouraged them from leaving the YES program even as their losses mounted. Now, the investors are seeking up to $1,000,000 ...
Date: December 26, 2019
Barred Woodbury Financial Services Broker Accused of Misrepresentations and Fraud If you are an investor who lost money while Robert Hayes Hoffman was your financial representative, our broker misconduct lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) would ...
Date: October 2, 2019
The Commission is accusing the defendants of the following: Misrepresentations involving the trading strategy’s ability to make money Continue Reading ›
Date: September 16, 2019
Now, the claimant is alleging omissions, misrepresentations, gross lack of supervision, unsuitable recommendations, and due diligence failures. Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) is representing this individual in his case against Kalos and McFarlin.
Date: September 13, 2019
She is alleging unsuitable recommendations, omissions, misrepresentations, gross negligence, due diligence failures, breach of fiduciary duty, negligence, and inadequate supervision. The investor is seeking damages, interest, and costs. Continue Reading ›
Date: September 6, 2019
Among the false claims and misrepresentations that the defendants allegedly made while soliciting investors were that: Continue Reading ›
Date: September 3, 2019
In the other Puerto Rico bond fraud claim, the claimants were customers alleging constructive fraud, common law fraud, breach of fiduciary duty, negligent misrepresentation, negligent supervision, breach of contract, and fraudulent concealment. The FINRA arbitration panel awarded them $4.8 million ...
Date: August 26, 2019
Johnathan Turner made misrepresentations to prospective investors, including that its investments were insured and bonded by top insurers like Chubb Group and CNA Financial Group. They allegedly continued to make these representations even after some investors complained that they never ...
