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 ...

We work with investors seeking to recover investment and bond losses caused by unsuitable investment recommendations, misrepresentations and omissions, churning, unauthorized trading, and other kinds of broker misconduct or negligence. ... The claimants accused the broker-dealer of unsuitably recommending non-traded ...

What Is Unauthorized Trading? ... That often results in unauthorized trading claims. ... Other Examples of Unauthorized Trading A financial advisor notes down an unauthorized trade as unsolicited, which makes it seem as if the trade was the customer's idea. ...

At SSEK Law Firm, we have represented thousands of investors and recovered many millions of dollars on their behalf over losses caused by: Misappropriation Broker fraud Misrepresentations and Omissions Negligence Unregistered securities sales Other registration violations Failure to execute trades ...

Explaining the term “rescission” with an example of rescission offers with a non-traded REIT. ... Watch Video What is unauthorized trading? Unauthorized Trading, Broker Fraud and Investment Loss Watch Video Where will a FINRA securities arbitration take place?

Our Unauthorized Trading Lawyers May Be Able To Help If you sustained investment losses while ex-stockbroker Justin William Pagel, Shepherd Smith Edwards and Kantas Unauthorized Trading Lawyers ( investorlawyers.com ) would like to talk to you. ... This purportedly included ...

The claimant, who filed his broker fraud lawsuit in 2023, alleged negligence, breach of contract, breach of fiduciary duty over the broker-dealer’s purported “inaction” to stop unauthorized trades in the account of an older investor in declining health, and more.

A former top 100-Barron’s broker leading a team overseeing $3B in assets, he was barred by the Financial Industry in 2023 following allegations of excessive trading and other kinds of broker misconduct. ... In 2022, an investor filed a $2M ...

The ex-financial advisor has been accused of different kinds of stockbroker misconduct, including excessive trading, unauthorized trading, improper options trading, unsuitability, misrepresentations, breach of fiduciary duty, breach of contract, and negligence.

Unauthorized Trading Can Lead To Serious Investor Losses Ex-DA Davidson Broker Andrew David Schell Has Been Involved in 19 Customer Disputes If you suffered investment losses while working with former Colorado financial advisor Andrew Schell, please contact Shepherd Smith Edwards ...