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 ...

We work with investors in the United States and abroad with claims against US-based firms in cases alleging unsuitability, churning, unauthorized trading, misrepresentations and omissions, failure to supervise, and other types of securities fraud.

These fines were related to the broker-dealer’s sale of Puerto Rico municipal bonds to customers and its lack of proper supervision over these transactions. ... Some Other Recent Major Regulatory & Investigative Claims Involving UBS July 2021 : Paying over ...

Examples of Failure to Supervise There are many instances where an investor can file a failure to supervise a claim against a broker or their firm. ... In a particular example of failure to supervise, a broker churned a client's ...

The firm hired Fagenson after he had already been fired by UBS Financial Services, where while under heightened supervision, he allegedly violated that firm’s trading policies. ... Recent Regulatory Filings Involving Newbridge Securities 2019 : FINRA censured and fined Newbridge ...

Due diligence failures could be a factor, and your broker-dealer may even have neglected to determine whether Healthcare REIT was unsuitable for you before suggesting that you buy. Your financial firm may have also failed to supervise your broker and ...

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 ...

Even if your broker-dealer was not aware that one of their financial advisors was unsuitably selling Reg D offerings to you, they may still be held liable for their failure to supervise their registered representative and your brokerage 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.

Raymond James advisors can choose to affiliate with the firm in four different ways: Raymond James & Associates (RJA) model: The broker is an employee in a traditional branch setting under the supervision of a manager. ... Raymond James has ...