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Search Results: failure to supervise
Results 1-10 of about 137
Date: May 27, 2025
Denver, Colorado Failure To Supervise Lawyers Working With Investors Throughout Colorado Who Have Loss Claims Against Brokers and Investment Advisers Shepherd Smith Edwards and Kantas, Colorado Failure To Supervise Lawyers ( investorlawyers.com ) represent investors who have sustained losses because ...
Date: April 28, 2025
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 ...
Date: April 16, 2025
In her FINRA lawsuit, our client is alleging unsuitable investment recommendations , misrepresentations and omissions, failure to supervise, excessive concentration, negligence, gross negligence, breach of contract, and more.
Date: April 2, 2025
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 ...
Date: April 2, 2025
When a failure to supervise allows or neglects to prevent broker fraud from happening, an investor who suffers losses as a result may be able to sue for damages. Shepherd Smith Edwards and Kantas Dallas Failure To Supervise Attorneys ( ...
Date: February 18, 2025
Houston, TX Failure To Supervise Law Firm. Our Securities Lawyers Have Been Representing Texas Investors Against Broker-Dealers And Investment Advisors for More Than 30 Years Since 1990, the Shepherd Smith Edwards and Kantas Houston Failure To Supervise Law Firm ( ...
Date: January 23, 2025
Did You Suffer Investment Losses Because of a Failure To Supervise By Your Broker? Newbridge Securities Agrees To Pay $105K in FINRA Settlement If you sustained significant portfolio losses while working with a broker-dealer, and you wonder whether you were ...
Date: January 6, 2025
Already, the broker-dealer has had to pay millions of dollars to former clients, including, recently, a more than $14.2M arbitration claim that included $9M in punitive damages to a Florida couple and $2.35M to another investor who accused the broker-dealer ...
Date: December 29, 2024
In her FINRA arbitration claim, our retiree client is alleging unsuitable investment recommendations, misrepresentations and omissions, failure to supervise, negligence, and more.
