The arrangement constituted a “firm-wide failure” in Morgan Stanley’s disclosure practices, according to the SEC’s director division of enforcement, adding that Morgan Stanley’s “conduct here clearly crossed the line.” ... Morgan Stanley Fined Over “Choice” Accounts The FINRA fined Morgan ...

Many of these investors are alleging different types of securities fraud : unsuitability, misrepresentation, breach of fiduciary duty, failure to supervise, negligence, and other claims.

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 ...

December 2015: Fidelity Sanctioned For Alleged Supervisory Failures The Financial Industry Regulatory Authority (FINRA) sanctioned Fidelity Brokerage Services for more than $1M for alleged supervisory failures related to not identifying the theft of over $1M from nine customers. ... Skilled ...

Here are a few of them: February 2021: Failure to Supervise The Financial Industry Regulatory Authority (FINRA) imposed approximately $194K in fines and restitution over Triad Advisor’s purported failure to supervise a financial advisor who was accused of making unsuitable ...

Denver, Colorado Failure To Supervise Lawyers Working With Investors Throughout Colorado Who Have Loss Claims Against Brokers and Investment Advisers Shepherd Smith Edwards and Kantas, Colorado Failure To Supervise Lawyers ( investorlawyers.com ) represent investors who have sustained losses because ...

San Francisco Failure To Supervise Law Firm is Representing SF Bay Area Investors In Their FINRA Lawsuits Against Brokerage Firms Throughout the San Francisco Peninsula , and surrounding areas, Shepherd Smith Edwards and Kantas San Francisco Failure To Supervise Law ...

In her FINRA lawsuit, our client is alleging unsuitable investment recommendations , misrepresentations and omissions, failure to supervise, excessive concentration, negligence, gross negligence, breach of contract, and more.

When Sunshine State Investors Lose Because Of Lax Oversight By Broker-Dealers From our securities law office in Tampa, FL, Shepherd Smith Edwards and Kantas Florida Failure To Supervise Law Firm ( investorlawyers.com ) represent investors throughout the state whose portfolio ...

When a failure to supervise allows or neglects to prevent broker fraud from happening, an investor who suffers losses as a result may be able to sue for damages. Shepherd Smith Edwards and Kantas Dallas Failure To Supervise Attorneys ( ...