投资者欺诈标签档案 - 投资者律师博客

Shepherd Smith Edwards and Kantas Continues to Investigate Investor Losses Involving Robinhood Financial Outages Before COVID-19

发表在：2020年4月6日 | byShepherd Smith Edwards & Kantas, LLP

Robinhood Financial向投资者道歉停电

如果您是一个投资者，他最近通过Robinhood Financial的投资平台遭受损失，联系我们的投资欺诈律师今天在Shepherd Smith Edwards和Kantas（SSEK律师事务所）。

Robinhood Financial, which provides an online platform that facilitates stock, exchange-traded funds (ETFs), and other investment trades without charging commissions, recently experienced technical snafus that caused major outages and prevented trading on March 2nd and March 3rd.

laspérdidasen las倒置Durante el coronavirus tiene a los timerverionistas buscando enversuestas

发表在：2020年3月31日 | byShepherd Smith Edwards & Kantas, LLP

Si Usted Es Como Muchos Americanos Con反转，PodríaEstarLuchandoConcómoManejarlaspérdidassusivas que que afectan su cartera mientras el novedoso coronavirus（covid-19）。De lo que puede que usted no se haya percatado es que las pérdidas en sus inversiones también pueden ser el resultado de fraude o negligencia por parte de su corredor o asesor financiero, y es aquí en lo que los abogados de inversionistas de la firma de Shepherd史密斯·爱德华兹（Smith Edwards＆Kantas）（Ssek）Pueden Ayudarlo。

nuestro bufete especializado en fraude en las倒置代表extresionistas detallistas，terverionistas contyistas cons conun conun con un to untravésde los de los estados unidos。Aun cuando nosotros, al igual que ustedes, nos adherimos a las nuevas directrices establecidas para prevenir la propagación del COVID-19, nuestros abogados y el resto de nuestro equipo se mantienen trabajando arduamente preparando, a nombre de nuestros clientes, reclamaciones de arbitraje ante laAutoridad Reguladora de la Industria Financiera（FINRA）en contra de corredores, asesores financieros, y sus firmas.

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牧羊人史密斯·爱德华兹（Smith Edwards）和坎塔斯（Kantas）调查前摩根士丹利经纪人约翰·卡希尔（John Cahill）

发表在：2020年1月10日 | byShepherd Smith Edwards & Kantas, LLP

FINRA BARS前摩根士丹利代表

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker,John Joseph Cahill。这位前注册的代表于去年年初被詹妮·蒙哥马利·斯科特（Janney Montgomery Scott）解雇，被指控在摩根士丹利（Morgan Stanley）时可能会converted依和/或挪用老年客户的资金。

约翰·卡希尔（John Cahill）Is Accused of Elder Investor Fraud

Shepherd Smith Edwards & Kantas Investigates Merrill Lynch and Gordon Harper over Collateral Yield Enhancement Strategy (CYES) Damages

发表在：2020年1月9日 | byShepherd Smith Edwards & Kantas, LLP

抵押收益增强策略（CYES）损害赔偿：SSEK调查Merrill Lynch财务顾问

Shepherd Smith Edwards & Kantas (SSEK), a law firm specializing in representing wronged investors is looking into allegations against戈登·哈珀, a financial advisor with Merrill Lynch out of Upper Montclair, New Jersey. Prior to that, he worked at Banc of America and Edward Jones.

根据最近一家金融行业监管局公司（FINRA）的指控，戈登·哈珀（Gordon Harper）推荐了一种称为收获波动性管理赛（也称为抵押收益增强策略）的东西。Harvest是一位货币经理，顾名思义，它试图管理波动。

Shepherd Smith Edwards＆Kantas调查Ex-Raymond James＆Associates顾问Stuart Nichols

发表在：October 31, 2019 | byShepherd Smith Edwards & Kantas, LLP

SSEK Investigating Ex-Raymond James Advisor, Stuart Nichols

另一位前雷蒙德·詹姆斯（Raymond James）顾问因欺诈指控而陷入困境。金融行业监管局（FINRA）最近禁止该公司的前经纪人斯图尔特·尼科尔斯（Stuart Nichols）参加自我调节机构对对他提出的提出的指控的调查。

Churning involves engaging in excessive trading in a brokerage account for the purposes of making commissions.

Shepherd Smith Edwards和Kantas调查了涉及前Morgan Stanley经纪人Ami Forte和Charles Lawrence的投资者索赔

发表在：October 24, 2019 | byShepherd Smith Edwards & Kantas, LLP

SSEK调查了前摩根士丹利经纪人Ami Forte

今年早些时候，我们的投资者律师报告说，金融行业监管局（FINRA）已针对前摩根士丹利经纪人Ami Forte提起诉讼。据称，她在现已去世的家庭购物网络联合创始人罗伊·斯佩尔（Roy Speer's）的帐户中进行了未经授权的交易，而他患有痴呆症。

自我监管机构现在宣布其禁止Forte。Shepherd Smith Edwards和Kantas（SSEK律师事务所）目前正在调查AMI Forte的前客户的投诉和担忧，他们怀疑他们的损失可能是由于欺诈造成的。

Shepherd Smith Edwards and Kantas Investigates ex-Wells Fargo Advisor Stephen Klinger

发表在：October 18, 2019 | byShepherd Smith Edwards & Kantas, LLP

SSEK Investigating Stephen Klinger, ex-Wells Fargo Advisor

Shepherd, Smith, Edwards & Kantas(“SSEK”), a law firm specializing in representing wronged investors, is looking into allegations against ex-broker Stephen Klinger for trading options for a client in his own account.

然后，他继续失去客户的钱。克林格于今年早些时候被富国银行解雇。随后，客户起诉克林格和富国银行。根据经纪人的CRD，他的正式记录，克林格随后在没有告诉富国银行的情况下解决了诉讼。

Shepherd Smith Edwards and Kantas Investigates Claims Involving Fired UBS Broker David Fagenson

发表在：October 17, 2019 | byShepherd Smith Edwards & Kantas, LLP

SSEK调查了前UBS经纪投资顾问David Fagenson

If you are an investor who worked with former UBS broker, David Fagenson, and suffered substantial losses or suspect you may have been charged excessive fees and commissions, please contact our broker fraud lawyers at Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today.

大卫·法根森（David Fagenson）was suspended by the Financial Industry Regulatory Authority (FINRA) last year after he allegedly engaged in不合适的交易在三名高级投资者的帐户中，年龄从70年代到90年代中期。但是，这并不是Fagenson参与的第一个欺诈指控。

GPB Capital Holdings停止向投资者出售GPB资金的私人资产

发表在：2018年8月20日 | byShepherd Smith Edwards & Kantas, LLP

GPB Capital Holdings已经有了1.8B美元的投资者资金，现在正在停止筹集更多资金，同时集中精力将其两项最大资金的会计和财务报表付诸实践，即GPB Automotive Portfolio和theGPB Holdings II。两者总共筹集了近1.3B美元的投资者资金。迄今为止，这两项资金已向经纪人支付了1亿美元的销售佣金。

The halt comes after GPB Capital, which is a top seller of risky private placements and concentrates on purchasing auto dealerships, missed its April deadline to file financial statements for the two funds with the US Securities and Exchange Commission. According to GPB Capital CEO David Gentile, in a letter thatInvestmentNews能够获得一份副本，提交的延迟是必须处理会计标准的结果，该会计标准要求这两项资金生成的年度审计财务报表必须符合SEC法规，以及与上市公司的会计监督Board’s standards.

Gentile, who headed up his own accounting and advisory firm before launching GPB in 2013, said that “best practices and efficient reporting are a top priority”— hence the temporary halt in accepting money from new investors. Meantime, fund redemptions have been suspended and reportedly will resume after the financial statements and public filings are submitted.

Ameriprise Financial to Pay $4.5M Over Alleged Failure to Protect Investors

发表在：2018年8月15日 | byShepherd Smith Edwards & Kantas, LLP

In a settlement reached with the US Securities and Exchange Commission, Ameriprise Financial Services (AMP) will pay $4.5M over allegations that it did not protect retail investors from five of their financial representatives, who stole over $1.5M. Three of these individuals had previously pleaded guilty to criminal charges involving投资者欺诈。

该委员会负责注册投资顾问和经纪公司Ameriprise对代表的监督不足，并且没有“合理设计”的政策和程序，以阻止他们挪用客户的款项。

Ameriprise, despite setting, is not denying or admitting to the regulator’s findings. However, it consented to a censure.