Yet securities fraud and investment advisor fraud happen all the time and may include: Misrepresentations and omissions Unsuitable investment recommendations and sales Overconcentration Excessive trading in a customer’s account, also known as churning Unauthorized trading Failure to execute trades Registration ...

At SSEK Law Firm, we have represented thousands of investors and recovered many millions of dollars on their behalf over losses caused by: Misappropriation Broker fraud Misrepresentations and Omissions Negligence Unregistered securities sales Other registration violations Failure to execute trades ...

those who have retained our legal services have recovered all or part of their investment losses caused by one or more of the following: Misrepresentations and Omissions Negligence Unsuitability Margin account abuse Churning Selling away Fraud Overconcentration Unauthorized trading Registration ...

Common Types of Broker Misconduct or Negligence Making inadequate and unsuitable investment recommendations Churning , which involves excessively trading in a customer’s accounts to earn commissions Making misrepresentations and omissions Overconcentration Registration violations Making unauthorized trades without the investor’s permission ...

Investors may bring a negligence claim against a broker when investment losses occur under the supervision of a financial advisor. A broker may be found guilty of negligence when they did not commit willful misconduct (i.e., broker fraud) but failed ...

Next Financial Group Also Accused of Failing to Properly Supervise Its Stockbrokers In another instance, according to the regulatory body FINRA, which oversees brokerage firms and advisors that work for them, NEXT did not properly implement and maintain a reasonable ...

Arbitration Claims Against Edward Jones Include Supervisory Failures, Misappropriation, Amongst Others According to BrokerCheck, Edward Jones has been the subject of 73 regulatory events, 2 civil events, and 148 arbitration claims including: 2004 : Edward Jones paid a $75 million ...

Here are a few of them: February 2021: Failure to Supervise The Financial Industry Regulatory Authority (FINRA) imposed approximately $194K in fines and restitution over Triad Advisor’s purported failure to supervise a financial advisor who was accused of making unsuitable ...

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.

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 ...