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 ...

When a failure to supervise allows fraud or negligence to occur, an investor may be able to recover damages from the brokerage firm of record.

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.

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 ...

Some of the allegations may include: Unsuitability Misrepresentations and omissions Churning Selling away Overconcentration Failure to supervise Negligence Margin account Broker fraud Unauthorized trading Breach of fiduciary duty Why Do You Need Your Own Securities Lawyer?

Its branch offices are primarily one and two-person establishments where registered representatives are supervised remotely, which means there is no supervisor onsite. Over the years, Centaurus Financial has become the subject of numerous regulatory claims.

This type of setup can make it challenging for LPL Financial to properly supervise all of its registered representatives. Examples of LPL Financial’s Recent Acquisitions Below are several examples of LPL Financial’s recent acquisitions that have aided in the firm’s ...

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

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. SSEK Law Firm has recovered 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.