Did You Know That Misrepresentations and Omissions Can Be Grounds for an Investor Claim? While theft or misappropriation most commonly comes to mind when people think of broker fraud, there are other ways in which a brokerage firm or its ...

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 ...

This is known as making misrepresentations and omissions . Brokerage Firm Negligence Brokerage firms can be held liable for failing to supervise their registered representative when investors lose money.

As a matter of fact, 90% of the 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 ...

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 ...

Should we agree to work together, our broker misconduct attorneys would conduct a thorough investigation into the cause of your losses and whether unsuitability, Reg BI violations , misrepresentations and omissions, overconcentration, or negligence was involved.

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. We have handled over a thousand cases ...

Skilled Counsel in Municipal bond underwriting misrepresentations Many municipalities and municipal related entities, such as county hospitals, rely on bond issuances to raise capital for their continued operations. Whether it’s a General Obligation Bond or Revenue Bond, the underwriting process ...

Other products are gross misrepresentations of the very nature of the product. One such glaring example is the Principle Protected Note ("PPN") . By the name alone, a reasonable investor would understand that the principal was somehow protected and guaranteed.