Articles Posted in Failure To Supervise

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San Francisco Failure To Supervise Law Firm is Representing SF Bay Area Investors In Their FINRA Lawsuits Against Brokerage Firms

Throughout the San Francisco Peninsula, and surrounding areas, Shepherd Smith Edwards and Kantas San Francisco Failure To Supervise Law Firm (investorlawyers.com) works with investors in recouping their portfolio losses that were caused, even if just in part, by a failure to supervise. Broker-dealers have a duty to properly oversee their registered representatives, any associated persons, and activities in customer accounts.

When Failure To Supervise Leads To Serious Losses for San Francisco Investors

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When Sunshine State Investors Lose Because Of Lax Oversight By Broker-Dealers 

From our securities law office in Tampa, FL, Shepherd Smith Edwards and Kantas Florida Failure To Supervise Law Firm (investorlawyers.com) represent investors throughout the state whose portfolio losses might have been avoided or lessened were it not for a failure to supervise by the broker-dealer. Supervisory deficiencies are commonly cited as a legal cause for why a customer may choose to seek damages. To schedule your free case consultation, contact us today.

What Is Failure To Supervise? 

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