Investment & Securities Fraud Lawyers Website

Search Results: unauthorized trading

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Edward Jones & Co

Filing a FINRA Arbitration Claim Against Edward Jones If you are an Edward Jones customer and you suspect that your broker or investment advisor caused your losses by making an unsuitable recommendation , engaging in misrepresentations and omissions , overconcentrating ...

UBS AG and Entities

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

Ex-J.P. Morgan Broker Ed Turley Investigation

Customer Disputes Involving Turley According to BrokerCheck: July 2021: This investor is requesting $18M in damages for allegedly unsuitable trading and exercise of discretion between 2018 and 2020. September 2020: Also alleging unsuitable trading and exercise of discretion these customers ...

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.

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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