Our Core Practice Areas At Shepherd Smith Edwards and Kantas, our investment fraud and securities attorneys work with investors who have been victims of the following acts of stockbroker fraud and brokerage firm negligence: Unsuitability Misrepresentations / Omissions Breach of ...

“Ultimately, this case should send a strong message that FINRA expects firms to provide accurate information to regulatory inquiries in a timely manner – and that failures to provide accurate information will draw severe sanctions.” MetLife Defrauds Georgia Sheriff’s Department ...

The arrangement constituted a “firm-wide failure” in Morgan Stanley’s disclosure practices, according to the SEC’s director division of enforcement, adding that Morgan Stanley’s “conduct here clearly crossed the line.”

A failure to properly disclose material information can cause an investor to buy a security or agree to an investing strategy that, unbeknownst to them, is too high-risk for their investment portfolio. Unfortunately, many Oregon investors have lost money because ...

Yet securities fraud and investment advisor fraud happen all the time and may include: Misrepresentations and omissions Unsuitable investment recommendations and sales Overconcentration Excessive trading in a customer’s account, also known as churning Unauthorized trading Failure to execute trades Registration ...

Our Tampa Investment Recovery Law Firm Represents Investors Against Financial Advisors The law firm Shepherd Smith Edwards and Kantas represents Florida investors seeking to recover losses caused by financial product failures, broker negligence, or investment fraud.

The firm is now seeking to assist other potential victims of Okuma’s misconduct in recovering losses resulting from senior financial exploitation and a failure of supervision by his former brokerage firms.

Shepherd Smith Edwards and Kantas is offering legal representation to Texas investors who have suffered significant financial losses due to product failures, fraud, or broker misconduct.

Mississippi Failure To Supervise Lawyers Our Gulfport, MS Securities Law Firm Represents Investors In Recouping Losses From Brokerage Firms If you are a Mississippi investor who suspects that your portfolio losses may have been enabled or even caused by the ...

We Represent Illinois Investors In Recouping Losses From Broker-Dealers and Investment Advisers From our Chicago securities law office , Shepherd Smith Edwards and Kantas ( investorlawyers.com ) works with investors throughout the Prairie State in holding brokerage firms and investment ...