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.

At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to: Financial product failures Stockbroker fraud Negligence Overconcentration Unsuitability Investment adviser misappropriation Misrepresentations and omissions Elder financial abuse Breach of fiduciary duty Failure to supervise Churning ...

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. ... In a particular example of failure to supervise, a broker churned a client's ...

A failure to properly disclose material information can cause an investor to buy a security or agree to an investing strategy that, unbeknownst to them, is too high-risk for their investment portfolio. ... Unsuitability may also refer to: Excessive trading ...

The broker-dealer was also fined $800K for not reasonably supervising these rollovers. ... July 2007: Supervisory Failures Massachusetts fined Oppenheimer & Co. $1M for supervisory failures that allowed one of its brokers to defraud a widow.

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 ( ...

Houston, TX Failure To Supervise Law Firm. Our Securities Lawyers Have Been Representing Texas Investors Against Broker-Dealers And Investment Advisors for More Than 30 Years Since 1990, the Shepherd Smith Edwards and Kantas Houston Failure To Supervise Law Firm ( ...