Our Practice Areas Breach of Fiduciary Duty Churning Failure to Supervise Financial Product Failures Institutional Investor Claims Investment Loss Recovery Misrepresentation Non-Traded REITS Omissions Overconcentration Professional Trader Claims Unsuitability Do You Need to Recover Your Losses?

| Shepherd Smith Edwards & Kansas Watch Video Failure to Supervise Video | Kirk Smith of Shepherd Smith Edwards & Kantas in Houston Explains Watch Video Moody REIT Watch Video Easterly RocMUNI Losses?

Our San Francisco Securities Lawyers Represent Investors In Northern California Over Their Portfolio Losses Involving Financial Product Failures Investment Loss Recovery Retirement Investment Losses Elder Financial Abuse Institutional Investor Claims Professional Trader Claims Unsuitability Misrepresentations and Omissions Overconcentration Breach of

Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) represents UIT investors throughout the US who have suffered significant losses caused by broker negligence or misconduct , including a broker-dealer’s failure to properly supervise its financial advisors.

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 ...

This type of venture has a higher risk of failure than businesses funded via more traditional means. There may not be seasoned professionals in charge of guiding the business to success. A fraudster can easily set up an equity crowdfunding ...

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. Our broker misconduct attorneys represent customers of Kestra Investment Services wishing to pursue damages through ...

Despite your financial advisor claiming market volatility or adverse events, such as COVID-19, are to blame for your investment failure. You still may be able to hold them accountable for the harm that you have suffered. Contact our team of ...

December 2015: Fidelity Sanctioned For Alleged Supervisory Failures The Financial Industry Regulatory Authority (FINRA) sanctioned Fidelity Brokerage Services for more than $1M for alleged supervisory failures related to not identifying the theft of over $1M from nine customers. Eight of ...

SSEK Law Firm has secured settlements for investors in securities claims, including misrepresentations and omissions , churning , fraud, negligence , failure to supervise, and much more. Over 90% of our clients have recovered all or part of their investment ...