Articles Posted in Brokerage Firm Arbitration

When Failure To Supervise Enables Broker Fraud

Texas Retirees Whose Financial Advisor Stole Their Savings File FINRA Arbitration Claim Against Planmember Securities 

As their customer, your broker-dealer has a fiduciary duty to properly supervise your accounts and your financial advisor’s activities when working with you. Unfortunately, failure to supervise these types of financial firms happens way too often. This lack of oversight makes it easy for stockbroker mistakes and wrongful misconduct to happen, which can lead to serious investor losses. That is why it is important to know when failure to supervise requires a broker fraud attorney to recover losses.

Shepherd Smith Edwards and Kantas Continues To Represent Northstar Financial Services (Bermuda) Investors With Brokerage Firm Arbitration Claims

Our expert Northstar Financial Services (Bermuda) Brokerage Firm Arbitration attorneys at Shepherd Smith Edwards and Kantas are continuing to investigate claims by investors seeking to recover losses they sustained in this obscure, offshore entity. Many of these claimants are retail customers and retirees. All of them are foreign nationals from Asia, Latin America, South America, or Central America who sought a safe haven for their assets in the United States. Instead, their broker-dealers unsuitably recommended Northstar (Bermuda) products, which lack the kinds of protections that come with US-based investments.

Broker Negligence May Have Caused Investors From All Over The World To Be Unsuitably Recommended Northstar (Bermuda) Products 

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