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.

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.

These losses may have been a result of unsuitability, misrepresentations and omissions , overconcentration, and other types of financial advisor negligence.

You also need a legal team that understands how to prove the particular claims you are making, whether it be unsuitability , churning , misrepresentations and omissions , breach of fiduciary duty , failure to supervise , or another allegation. ...

Other possible grounds for a FINRA arbitration claim involving Newbridge may include misrepresentations and omissions, churning, failure to supervise, and other violations. Call SSEK Law Firm at (800) 259-9010 throughout the US or contact us online .

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 ...

You may be able to recover your savings if any of the following occurred: Failure to take the necessary steps to safeguard your investments during COVID-19 Breach of contract Selling away Misrepresentations and omissions Poor investment advice Failure to recommend ...