{"id":29487,"date":"2023-08-08T22:55:05","date_gmt":"2023-08-09T03:55:05","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=29487"},"modified":"2023-08-08T22:55:05","modified_gmt":"2023-08-09T03:55:05","slug":"broker-theft-attorney","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/","title":{"rendered":"Broker Theft\u00a0Attorney"},"content":{"rendered":"<p><strong>When Failure To Supervise Enables Broker Theft\u00a0<\/strong><\/p>\n<p><strong>LPL Financial Fined $3M After Its Financial Advisors Steal From 13 Customers<\/strong><\/p>\n<p>If your broker-dealer failed to identify and investigate red flags indicating possible misconduct or fraud by your financial advisor you may be able to hold them liable for your investment losses. Recently, the Financial Industry Regulatory Authority (<a href=\"https:\/\/www.finra.org\/\" target=\"_blank\" rel=\"noopener\">FINRA<\/a>) fined\u00a0<a href=\"https:\/\/www.investorlawyers.com\/lpl-financial.html\">LPL Financial<\/a>\u00a0$3M after finding that the firm allegedly\u00a0<a href=\"https:\/\/www.investorlawyers.com\/failure-to-supervise-leads-to-investment-losses.html\">failed to properly supervise<\/a>\u00a0its registered representatives, which placed customers at risk of suffering serious investment losses. This included its purported\u00a0failure to stop two of its brokers from misappropriating $2.4M from 13 clients, most of whom were senior investors.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/\"  title=\"Continue Reading Broker Theft\u00a0Attorney\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>When Failure To Supervise Enables Broker Theft\u00a0 LPL Financial Fined $3M After Its Financial Advisors Steal From 13 Customers If your broker-dealer failed to identify and investigate red flags indicating possible misconduct or fraud by your financial advisor you may be able to hold them liable for your investment losses. Recently, the Financial Industry Regulatory [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":29503,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[1],"tags":[4935],"class_list":["post-29487","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-uncategorized","tag-broker-theft-attorney"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Theft\u00a0Attorney<\/title>\n<meta name=\"description\" content=\"How Can Our Seasoned Broker Theft Attorney Team Help? SSEK provides a free, no-obligation case consultations to investors\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Theft\u00a0Attorney\" \/>\n<meta name=\"twitter:description\" content=\"How Can Our Seasoned Broker Theft Attorney Team Help? SSEK provides a free, no-obligation case consultations to investors\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2023\/08\/Broker-Theft-Attorney.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Broker Theft\u00a0Attorney","description":"How Can Our Seasoned Broker Theft Attorney Team Help? 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SSEK provides a free, no-obligation case consultations to investors","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2023\/08\/Broker-Theft-Attorney.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Broker Theft\u00a0Attorney","datePublished":"2023-08-09T03:55:05+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/"},"wordCount":516,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2023\/08\/Broker-Theft-Attorney.jpg","keywords":["Broker Theft\u00a0Attorney"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/","url":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/","name":"Broker Theft\u00a0Attorney","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/broker-theft-attorney\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2023\/08\/Broker-Theft-Attorney.jpg","datePublished":"2023-08-09T03:55:05+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"How Can Our Seasoned Broker Theft Attorney Team Help? 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