You also need a legal team that understands how to prove the particular claims you are making, whether it be unsuitability , churning , misrepresentations and omissions , breach of fiduciary duty , failure to supervise , or another allegation. ...

Other possible grounds for a FINRA arbitration claim involving Newbridge may include misrepresentations and omissions, churning, failure to supervise, and other violations. Call SSEK Law Firm at (800) 259-9010 throughout the US or contact us online .

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 ...

If the information in that prospectus is incorrect, then of course it's been a misrepresentation and the offering of the document.

Video Summary: A whistleblower who will let authorities know about misrepresentations done by the company has protections under state law and under federal law. Video Transcript: A whistleblower, especially in the security's context, is an individual who blows the whistle ...

The making of misrepresentations and omissions is one of the most common grounds cited for why an investor might sue their financial advisor. Continue Reading ›

Despite the ongoing liquidation of the offshore entity, the firm is filing lawsuits based on allegations of misrepresentation, negligence, and breach of fiduciary duty to help retirees and foreign nationals recoup their savings.

Alternative investment loss lawyers at Shepherd Smith Edwards and Kantas are investigating brokerage firms like LPL Financial and Osaic for potential misrepresentations regarding Blue Owl Capital’s OBDC II fund.

He accused the brokerage firm of breach of fiduciary duties , deliberate and negligent misrepresentations , Regulation Best Interest violation , negligence, and other broker misconduct involving UBS’ recommendations and management of his portfolio. Continue Reading ›

Representing Texas Investors Whose Brokers Gave Them Inaccurate, False, or Incomplete Facts and Information About An Investment or Strategy Shepherd Smith Edwards and Kantas ( investorlawyers.com ) works with Lone Star State investors who have suffered losses due to misrepresentations ...