Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) represents UIT investors throughout the US who have suffered significant losses caused by broker negligence or misconduct , including a broker-dealer’s failure to properly supervise its financial advisors.

David Lerner Associates Brokers Who Appear To Have Recommended SOAEX To Customers Alan Lowenfels Richard Lerner Francisco Cabral Gary Isler Martin Lerner David Oser William Campbell Rafael Klein Daniel Lerner Charles Bonilla Michael Norton Glen Werner Brokerage firms have a ...

This type of venture has a higher risk of failure than businesses funded via more traditional means. ... Unfortunately, failure to supervise , due diligence failures, negligence, and misconduct by brokers and their firms can cause non-traded securities investors to ...

To determine if you o determine if you have grounds for financial recovery we will look at a couple different things including various forms of broker negligence fraud unsuitable investment recommendations failure to supervise and breach a fiduciary duty.

The firm must supervise every single financial advisor under its control to ensure all communications are fair and balanced. ... The duty is absolute and there are consequences for failure.

He is alleging unsuitability, misrepresentations and omissions, unsuitable investment recommendations, negligence, gross negligence, breach of fiduciary duty, breach of contract, failure to supervise, and more.

Western Colorado Failure To Supervise Law Firm. Representing Investors Who Have Suffered Portfolio Losses Due To Inappropriate Recommendations By A Broker The Shepherd Smith Edwards and Kantas Colorado Failure To Supervise Law Firm ( investorlawyers.com ) represents victims throughout Western ...

Lexington, Kentucky Failure To Supervise Law Firm Our Kentucky Broker Negligence Lawyers Have Been Representing Investors For Decades Throughout the Bluegrass State, the Shepherd Smith Edwards and Kantas Kentucky Failure To Supervise Law Firm ( investorlawyers.com ) offers robust securities ...

Contact Our Broker-Dealer Failure To Supervise Attorneys Today Former financial advisor Chuck Roberts is no longer a Stifel Nicolaus & Co. broker or investment adviser.

In his FINRA lawsuit, our client is alleging unsuitable recommendations, breach of fiduciary duty, overconcentration, misrepresentations and omissions, negligence, unjust enrichment, failure to supervise, and more.