Examples of Failure to Supervise There are many instances where an investor can file a failure to supervise a claim against a broker or their firm. One standard check and balance is the exception report which is supposed to "red ...

Failure to Conduct Due Diligence: Our investment loss attorneys at SSEK Law Firm once had a large string of cases in which the brokerage firm told the broker that a particular product was safe and conservative. Arguably, the broker should ...

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 ...

FINRA Sanctions Titan Securities for Supervisory Failures In June 2021, the Financial Industry Regulatory Authority (FINRA)’s National Adjudicatory Council made the decision to suspend Titan Securities owner and CEO Brad Brooks for a year. The sanction was over Titan Securities' ...

those who have retained our legal services have recovered all or part of their investment losses caused by one or more of the following: Misrepresentations and Omissions Negligence Unsuitability Margin account abuse Churning Selling away Fraud Overconcentration Unauthorized trading Registration ...

Mississippi Failure To Supervise Lawyers Our Gulfport, MS Securities Law Firm Represents Investors In Recouping Losses From Brokerage Firms If you are a Mississippi investor who suspects that your portfolio losses may have been enabled or even caused by the ...

We Represent Illinois Investors In Recouping Losses From Broker-Dealers and Investment Advisers From our Chicago securities law office , Shepherd Smith Edwards and Kantas ( investorlawyers.com ) works with investors throughout the Prairie State in holding brokerage firms and investment ...

Our Oregon Failure To Supervise Attorneys are Here To Represent Beaver State Investors With Investment Loss Recovery Claims Against Brokerage Firms Shepherd Smith Edwards and Kantas ( investorlawyers.com ) works with retail investors, retirees, senior investors, families, accredited investors, high-net-worth ...

Our San Diego Failure To Supervise Law Firm is Representing Southern California Investors Who Have Suffered Losses Because of Lax Supervision By Their Broker From our San Diego securities law office , the Shepherd Smith Edwards and Kantas San Diego ...

Mississippi Failure To Supervise Attorneys From Our Gulfport, MS Securities Law Office, We Represent Investors Against US Broker-Dealers Shepherd Smith Edwards and Kantas ( investorlawyers.com ) cannot tell you how many times Mississippi investors have come to us with portfolio ...