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Articles Posted in Unauthorized Trading Attorneys

Unauthorized Trading Lawyers

Published on: December 11, 2023 | by Shepherd Smith Edwards & Kantas, LLP

Unauthorized Trading Can Lead To Serious Investor Losses

Ex-DA Davidson Broker Andrew David Schell Has Been Involved in 19 Customer Disputes

If you suffered investment losses while working with former Colorado financial advisor Andrew Schell, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com). The formerly registered broker and investment adviser has 20 disclosures on his CRD. 19 of them are customer disputes that have resulted in settlements.

Unauthorized Trading Attorneys

Published on: October 23, 2023 | by Shepherd Smith Edwards & Kantas, LLP

I’m An Investor Whose Broker Engaged in Unauthorized Trading. What Should I Do?

Our Trusted Securities Lawyers Are Investigating Claims of Losses Involving Aegis Stockbroker Joseph LaScala

Unauthorized trading is what happens when your financial advisor buys or sells assets in your brokerage account without your prior knowledge and/or permission. This type of broker misconduct is prohibited by the Financial Industry Regulatory Authority (FINRA) and brokerage firms have a duty to have the proper procedures, systems, and rules in place to prevent this from happening.