Examples of Broker Misconduct Below are some of the examples of broker misconduct that an investor may experience: Making unsuitable investment recommendations; Making misrepresentations or omissions when marketing an investment product or strategy to a customer; Overconcentrating an investor’s account ...

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. ... Barred by FINRA in 2020, former First Allied Securities ...

The firm also must disclose all risks involved and refrain from making any misrepresentations about the financial products or trading strategies that they are marketing.

The SRO also alleged misrepresentations and omissions .

Other alleged misrepresentations and omissions include that Structured CDs would perform like traditional bank certificates of deposit; that the market value would not decrease during the life of the investments; and that the Investment Products were liquid.

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.

This includes not making misrepresentations and omissions when explaining these recommendations and apprising an investor of the risks.

They are the ones we responsible for the misrepresentations and importantly, the omissions.

They're the ones responsible for the misrepresentation and importantly the omissions.

Each lawyer and staff member of our firm is devoted to assisting investors to recover losses caused by unsuitability, over-concentration, fraud, misrepresentation, self-dealing, unauthorized trades or other wrongful acts, whether intentional or negligent.