Despite your financial advisor claiming market volatility or adverse events, such as COVID-19, are to blame for your investment failure. ... List of Financial Product Failures That SSEK Law Firm is Investigating This curated list has some of the many ...

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 ...

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 ...

To determine if you o determine if you have grounds for financial recovery we will look at a couple different things including various forms of broker negligence fraud unsuitable investment recommendations failure to supervise and breach a fiduciary duty.

This type of setup can make it challenging for LPL Financial to properly supervise all of its registered representatives. ... LPL Financial Named in 181 Regulatory Events as of Early December 2021, Reports FINRA Here are examples of a few ...

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 ...

SSEK Law Firm has secured settlements for investors in securities claims, including misrepresentations and omissions , churning , fraud, negligence , failure to supervise, and much more.

In another matter, a complaint was brought by the State of Colorado against Centaurus Financial for its failure to supervise Mantei and one or more registered representatives in his group.

Emerson Equity Pays over $1.7M Over Alleged Supervisory Failures Involving Mutual Fund Trades According to Emerson Equity's CRD , the brokerage firm has been the subject of one regulatory case. In early 2022, FINRA found that Emerson Equity allegedly engaged ...