We Fight for Investors Cheated by Wall Street
Contact Us Now Investment & Securities Fraud Lawyers Website
Search Results: failure to supervise
Results 1-5 of about 50
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?
We work with investors in the United States and abroad with claims against US-based firms in cases alleging unsuitability, churning, unauthorized trading, misrepresentations and omissions, failure to supervise, and other types of securities fraud.
Due diligence failures could be a factor, and your broker-dealer may even have neglected to determine whether Healthcare REIT was unsuitable for you before suggesting that you buy. Your financial firm may have also failed to supervise your broker and ...
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. ... The broker's failure ...
Our clients include senior and younger retirees and investors who have not yet retired but have lost money in their retirement fund because of careless or improper handling and failure to supervise.
Investor Lawyers Blog
Search Results: failure to supervise
Results 1-5 of about 124
Date: April 15, 2024
In her FINRA lawsuit, this retiree is alleging unsuitability, negligence, misrepresentations and omissions, breach of fiduciary duty, gross negligence, due diligence failures, breach of contract, failure to supervise, and unjust enrichment.
Date: October 25, 2023
Seeking up to $500K in damages, our client is also alleging unsuitable investment recommendations, due diligence failures, misrepresentations and omissions, and gross lack of supervision.
Date: September 18, 2023
While Oppenheimer does not appear to have been directly involved in the fraud, run by its ex-broker John Woods in Georgia, there appear to be grounds for suing the broker-dealer for its purported gross negligence and failure to properly supervise ...
Date: August 8, 2023
When Failure To Supervise Enables Broker Theft LPL Financial Fined $3M After Its Financial Advisors Steal From 13 Customers If your broker-dealer failed to identify and investigate red flags indicating possible misconduct or fraud by your financial advisor you may ...
Date: November 8, 2022
When Failure To Supervise Enables Broker Fraud Texas Retirees Whose Financial Advisor Stole Their Savings File FINRA Arbitration Claim Against Planmember Securities As their customer, your broker-dealer has a fiduciary duty to properly supervise your accounts and your financial advisor’s ...