Unsuitable Investment Recommendations Are a Common Cause of Portland Investors' Losses Brokers and financial advisors have a duty to only recommend securities or trades that are in the best interests of a customer's financial goals, portfolio, life circumstances, and risk ...

Yet securities fraud and investment advisor fraud happen all the time and may include: Misrepresentations and omissions Unsuitable investment recommendations and sales Overconcentration Excessive trading in a customer’s account, also known as churning Unauthorized trading Failure to execute trades Registration ...

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 ...

As a matter of fact, 90% of the those who have retained our legal services have recovered all or part of their investment losses caused by one or more of the following: Misrepresentations and Omissions Negligence Unsuitability Margin account abuse ...

Common Types of Broker Misconduct or Negligence Making inadequate and unsuitable investment recommendations Churning , which involves excessively trading in a customer’s accounts to earn commissions Making misrepresentations and omissions Overconcentration Registration violations Making unauthorized trades without the investor’s permission ...

Illinois Investor Sues Open to the Public Investing After Losing Hundreds of Thousands of Dollars Unauthorized Third Party Accessed Her Brokerage Account And Made Trades Without Permission Shepherd Smith Edwards and Kantas Securities Law Firm ( investorlawyers.com ) is representing ...

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.

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.

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 ...