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Search Results: failure to supervise
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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 ...
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 ...
Next Financial Group Also Accused of Failing to Properly Supervise Its Stockbrokers In another instance, according to the regulatory body FINRA, which oversees brokerage firms and advisors that work for them, NEXT did not properly implement and maintain a reasonable ...
Many of these investors are alleging different types of securities fraud : unsuitability, misrepresentation, breach of fiduciary duty, failure to supervise, negligence, and other claims.
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 ...
Unfortunately, failure to supervise can make it easy for broker misconduct and negligence to occur, both of which may lead to investment losses for customers. ... These losses were possibly due to unsuitability , breach of fiduciary duty , misrepresentations ...
This is called failure to execute . ... Failure to Supervise Brokerage firms have a duty to oversee not just their registered representatives but also supervise what these employees are doing in their customers' accounts.
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.
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 ...
SSEK Law Firm has secured settlements for investors in securities claims, including misrepresentations and omissions , churning , fraud, negligence , failure to supervise, and much more.