Explaining the term “rescission” with an example of rescission offers with a non-traded REIT. Watch Video What is selling away? Selling away is one of the most common reasons why investors lose money. Watch Video What is the difference between ...

Churning which involves making too many trades in an account so that the broker can keep earning commissions. Engaging in trades or buying investments without the customer’s knowledge or approval. This is a practice known as unauthorized trading .

This means only employing a trading strategy or making investment recommendations that fully align with the investor’s goals, portfolio, and risk tolerance level.

BofA Securities, which is Bank of America’s multinational investment banking division, offers services related to mergers, acquisitions, lending, equity and debt capital markets, risk management, trading, liquidity and payments management, and research.

Video Summary: Unauthorized Trading, Broker Fraud and Investment Loss Video Transcript: Unless a financial advisor or stockbroker has discretionary authority to handle your account he or she is not allowed to make any transactions in your account without your commission.

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.

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. Continue Reading ›