Investment & Securities Fraud Lawyers Website

Search Results: unauthorized trading

Results 20-26 of about 26

First Allied Securities

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.

Churning, Excessive Trading and FINRA

Churning is what happens when a broker excessively trades in a customer’s account to earn more commissions. It is unethical, illegal, and a violation of Securities and Exchange Commission rules.

GPB Capital Holdings Investment Loss

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 ...

Videos Part 2

Watch Video What is unauthorized trading? Unauthorized Trading, Broker Fraud and Investment Loss Watch Video Where will a FINRA securities arbitration take place? Talking about where a FINRA securities arbitration takes place Watch Video Who are typical defendants in securities ...

UBS AG and Entities

There was also the 2011 rogue trader scandal that resulted in a more than $2B loss from unauthorized trading.

How to Fight Unauthorized Trading, Broker Fraud and Investment Loss

What Is Unauthorized Trading? Before placing an order to buy or sell securities for an investor, a broker or financial advisor must obtain the express permission of that investor. According to securities law, a failure to do so may constitute ...

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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.

"Good positive experience. Guided us through a difficult process and was pleased with the outcome. Everyone I dealt with was exceptional." A.G.

"Good intelligent attorneys who never miss a beat. I set my expectations high, and they delivered above and beyond. Do not miss the opportunity to let SSEK represent you. Top-notch, efficient and effective firm." S.M.

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