These fines were related to the broker-dealer’s sale of Puerto Rico municipal bonds to customers and its lack of proper supervision over these transactions. SSEK Law Firm has successfully worked with investors in Puerto Rico and the mainland to recover ...

Raymond James advisors can choose to affiliate with the firm in four different ways: Raymond James & Associates (RJA) model: The broker is an employee in a traditional branch setting under the supervision of a manager.

You also need a legal team that understands how to prove the particular claims you are making, whether it be unsuitability , churning , misrepresentations and omissions , breach of fiduciary duty , failure to supervise , or another allegation. ...

The firm hired Fagenson after he had already been fired by UBS Financial Services, where while under heightened supervision, he allegedly violated that firm’s trading policies. Fagenson, barred by FINRA in 2019, has 19 disclosures on his BrokerCheck record.

FINRA Sanctions Titan Securities for Supervisory Failures In June 2021, the Financial Industry Regulatory Authority (FINRA)’s National Adjudicatory Council made the decision to suspend Titan Securities owner and CEO Brad Brooks for a year. The sanction was over Titan Securities' ...

At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to: Financial product failures Stockbroker fraud Negligence Overconcentration Unsuitability Investment adviser misappropriation Misrepresentations and omissions Elder financial abuse Breach of fiduciary duty Failure to supervise Churning ...

To determine if you o determine if you have grounds for financial recovery we will look at a couple different things including various forms of broker negligence fraud unsuitable investment recommendations failure to supervise and breach a fiduciary duty.

Our Core Practice Areas At Shepherd Smith Edwards and Kantas, our investment fraud and securities attorneys work with investors who have been victims of the following acts of stockbroker fraud and brokerage firm negligence: Unsuitability Misrepresentations / Omissions Breach of ...

Royal Alliance FINRA investigated Royal Alliance, which neither admitted nor denied the conclusions, regarding its failure to offer discounts on sales charges to consumers who qualified for such reductions. The firm's misdeed involved the marketing and sale of Unit Investment ...

Even if your broker-dealer was not aware that one of their financial advisors was unsuitably selling Reg D offerings to you, they may still be held liable for their failure to supervise their registered representative and your brokerage account.