FINRA arbitration allows investors to pursue damages directly from the brokerage firms whose due diligence failures, misrepresentations and omissions , poor recommendations, and other misconduct or negligence caused them financial harm.

Western International Securities Broker Peter Steege in Denver, CO With 21 disclosures noted in his CRD, Steege is accused of concentration, unsuitability, and misrepresentations that allegedly caused investors losses.

We work with investors seeking to recover investment and bond losses caused by unsuitable investment recommendations, misrepresentations and omissions, churning, unauthorized trading, and other kinds of broker misconduct or negligence.

The firm must approve all communications to ensure financial advisors/brokers are not making misrepresentations. Given that the means of transmission could be emails, texts, Twitter and Facebook messages, supervisors must be extra diligent. They must be watchful of brokers’ communications ...

Misrepresentations and Omissions: Even when done unintentionally, leaving out key information about an investment or misrepresenting material facts or risks can cause customers to agree to a transaction or strategy they wouldn't have otherwise.

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 ...

If a brokerage firm marketed and sold you regulation D securities, you may be able to pursue damages if they failed to conduct proper due diligence into this offering, unsuitably recommended this investment to you, made misrepresentations or omissions, or ...

Brokers and Advisors Made Misrepresentations and Omissions to Steepener Customers Steepeners are not just complex investments, but also they are difficult to explain or understand, which is why so many investors end up getting blindsided when they do lose money.

Millions of Americans across the United States have fallen victim to broker misconduct and other instances of investor claims, including negligence, churning, and misrepresentation. Victims of investment fraud and broker misconduct are entitled to receive damages to compensate for any ...

Filing a FINRA Arbitration Claim Against Edward Jones If you are an Edward Jones customer and you suspect that your broker or investment advisor caused your losses by making an unsuitable recommendation , engaging in misrepresentations and omissions , overconcentrating ...