Bond Dealers

L Bond Loss Recovery Lawyers

Published on: May 8, 2025 | by Shepherd Smith Edwards & Kantas, LLP

American Trust Investment Services Sold GWG L Bonds And Now Must Pay FINRA $266,000. Our L Bond Loss Recovery Lawyers Are Working With Investors To Pursue Their Losses

In a settlement reached with the Financial Industry Regulatory Authority (FINRA), broker-dealer American Trust Investment Services consented to pay $166K in restitution and a $100K fine to resolve allegations that three of its financial advisors violated Regulation Best Interest (REG BI) when they allegedly unsuitably recommended GWG L Bonds to investors.

GWG Holdings is accused of running a more than $1.6B Ponzi scam that cost thousands of L Bond investors serious losses.

L Bond Loss Recovery Attorneys

Published on: May 5, 2025 | by Shepherd Smith Edwards & Kantas, LLP

More GWG Investors Sue Western International Securities For Up to $5M. Our L Bond Loss Recovery Attorneys Are Representing These Claimants in FINRA Arbitration

A number of investors have joined together to file an investment loss recovery claim against Western International Securities over losses they sustained in GWG L Bonds. The claimants are seeking up to $5M in damages. This is not the first multimillion-dollar case we have filed against this broker-dealer over GWG-related losses.

In this latest FINRA lawsuit, these investors had no experience in private placements, and they trusted Western International Securities to offer them suitable products and conduct the proper due diligence.

GWG Bond Loss Attorneys

Published on: April 28, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Moloney Securities Under Scrutiny By State Regulators. Our GWG Bond loss attorneys Are Representing Investors Against This Firm

Last month, Moloney Securities Co. reported in its report with the US Securities and Exchange Commission (SEC) that it is facing inquiries by different state regulators. This disclosure comes just six months after the regulator reached a $316K settlement with the broker-dealer for Regulation Best Interest violations related to the sale of GWG Holdings L Bonds. Three Moloney Securities brokers collectively paid $121K in disgorgement, interest, and penalties over this matter.

GWG is accused of selling more than $1.6B in high-risk supposed life settlement-backed bonds that have left thousands of investors, mostly retail investors and retirees, with serious losses. Meanwhile, dozens of brokerage firms earned hefty commissions from the transactions.

L Bond Fraud Lawyers

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Illinois Investors File 7-Figure GWG Loss Lawsuit Against Moloney Securities and Broker John Shortal. Our L Bond Fraud Lawyers Are Representing These Claimants Who Are Alleging Unsuitability, Misrepresentations

A family of GWG Holdings investors are seeking up to $1M in damages plus interests and costs in their FINRA lawsuit against Moloney Securities and its Illinois broker John Patrick Shortall. Shepherd Smith Edwards and Kantas L Bond Fraud Lawyers (investorlawyers.com) are representing these claimants.

Their GWG fraud lawsuit alleges that Shortall was more concerned with commission earnings than the fiduciary duties owed to these investors. The claimants are also contending that Moloney Securities was beyond complacent in its supervision of this broker and the products it chose to solicit. In their L Bond loss recovery claim, the Illinois family is also alleging unsuitability, misrepresentations and omissions, and overconcentration involving these illiquid junk bonds.

Bond Loss Lawyers

Published on: April 2, 2025 | by Shepherd Smith Edwards & Kantas, LLP

For GK Investment Holdings 7% Bond Investors, Financial Recovery May Be An Option.

You May Be Able To Pursue An Investment Loss Recovery Claim

Our investment Bond Loss Lawyers are continuing to look into claims of portfolio losses involving GK7% bond investors. GK 7% bonds, issued by GK Investment Holdings, had promised a 7% interest.

Bond Loss Recovery Law Firm

Published on: March 3, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Are You A GK7% Bond Investor Who Worked With JCC Advisors Or Another Brokerage Firm? Contact Our Bond Loss Recovery Law Firm Today

Shepherd Smith Edwards and Kantas Bond Loss Recovery Law Firm (investorlawyers.com) is offering free, no-obligation initial case consultations to those of you whose brokers may have unsuitably recommended GK7% bonds and you have since sustained serious losses. Our securities law firm is investigating allegations that broker-dealers may have failed to conduct the necessary due diligence into issuer GK Investment Holdings.

What Are GK Investment Holdings 7% Bonds?

GWG L Bond Fraud Attorneys

Published on: January 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

GWG Investors Sue Western International Securities for Up to $5M Lost In Alleged Affinity Scam

Beverly Hills Financial Planners’ Angelo Talebi Allegedly Worked With One of The Firm’s Brokers to Target Persian American Community Through Radio Ads

Two Maryland investors of Persian descent have filed a FINRA lawsuit seeking up to $5M for their losses from Western International Securities. The claimants, who are older seniors, contend that their financial advisor Daniel Keith Beech misrepresented GWG Holdings L Bonds as safe, low risk investments when they were in fact, high-risk, illiquid junk bonds. Shepherd Smith Edwards and Kantas (investorlawers.com) GWG L Bond Fraud Attorneys is representing this older couple.

L Bond Loss Recovery Lawyers

Published on: January 22, 2025 | by Shepherd Smith Edwards & Kantas, LLP

Illinois Couple Alleges Unsuitable Recommendations in GWG L Bond Lawsuit Against Ausdal Financial

Our L Bond Loss Recovery Lawyers Are Representing These Investors in FINRA Arbitration

If you are an investor who sustained losses in GWG Holdings, there is still time to explore your legal options. Shepherd Smith Edwards and Kantas L Bond Loss Recovery Lawyers (investorlawyers.com) continue to represent many investors, including retirees, who sustained serious losses because their financial advisor unsuitably marketed and sold GWG L Bonds to them. You can find a list of some of the L Bond loss recovery claims we are handling here.

GWG Bond Recovery Lawyers

Published on: September 20, 2024 | by Shepherd Smith Edwards & Kantas, LLP

FINRA Arbitration Panel Awards GWG Investors Over $800K in Damages

Ruling Shows Why It Is So Important for Those Who Suffered L Bond Losses To Consider Filing Broker Fraud Claims

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded investors damages in their GWG L Bond loss recovery claim against a broker-dealer. There were several claimants who were part of this case. The panel awarded a number of them a collective over $726,000 in compensatory damages. Two of the investors were granted $75,000 each for emotional damages.

L Bond Loss Recovery Lawyers

Published on: September 20, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas L Bond Loss Recovery Lawyers Files Six-Figure GWG Investor Lawsuit Against Capital Investment Group

More Broker-Dealers Are Being Held Liable For Unsuitable Recommendations

Two North Carolina investors are seeking up to $500K in damages from brokerage firm Capital Investment Group after they sustained significant losses in GWG L Bonds. Alternative asset firm GWG Holdings is accused of running a more than $1.6B Ponzi scam. Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing these claimants and many others that were allegedly unsuitably marketed and sold these high-risk junk bonds by regional broker-dealers.