Investment & Securities Fraud Lawyers Website

Search Results: unauthorized trading

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MML Investors Services

Galvin determined that the broker-dealer failed to review its financial advisors' social media or detect excessive trading in their accounts. $4M was to settle the allegations and $750K was because the firm didn’t register more than 470 of its broker-dealer ...

Securities Lawyers

Some of the allegations may include: Unsuitability Misrepresentations and omissions Churning Selling away Overconcentration Failure to supervise Negligence Margin account Broker fraud Unauthorized trading Breach of fiduciary duty Why Do You Need Your Own Securities Lawyer?

Videos

Explaining the term “rescission” with an example of rescission offers with a non-traded REIT. Watch Video What is selling away? Selling away is one of the most common reasons why investors lose money. Watch Video What is the difference between ...

What Is Unauthorized Trading?

Video Summary: Unauthorized Trading, Broker Fraud and Investment Loss Video Transcript: Unless a financial advisor or stockbroker has discretionary authority to handle your account he or she is not allowed to make any transactions in your account without your commission.

Bank of America: Key Acquisitions

BofA Securities, which is Bank of America’s multinational investment banking division, offers services related to mergers, acquisitions, lending, equity and debt capital markets, risk management, trading, liquidity and payments management, and research.

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"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self-respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.

"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient, and I never felt rushed. I have already told friends how wonderful he is." L.R.

"I want you to know that I very much appreciate your expertise, hard work, and guidance that led to a satisfactory resolution with Raymond James. From our first meeting, I felt "heard" and that my situation and story were respected. Every subsequent interaction I had with any of you - in person, via email, or by phone - only corroborated that feeling. What great work you do on behalf of people like me who have been wronged, yet don't know how to navigate the appeals/mediation/arbitration process as you do. I will be forever grateful." M.L.

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