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Search Results: failure to supervise
Results 20-30 of about 51
“Ultimately, this case should send a strong message that FINRA expects firms to provide accurate information to regulatory inquiries in a timely manner – and that failures to provide accurate information will draw severe sanctions.” MetLife Defrauds Georgia Sheriff’s Department ...
The arrangement constituted a “firm-wide failure” in Morgan Stanley’s disclosure practices, according to the SEC’s director division of enforcement, adding that Morgan Stanley’s “conduct here clearly crossed the line.”
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. One standard check and balance is the exception report which is supposed to "red ...
Failure to Conduct Due Diligence: Our investment loss attorneys at SSEK Law Firm once had a large string of cases in which the brokerage firm told the broker that a particular product was safe and conservative. Arguably, the broker should ...
Investors may bring a negligence claim against a broker when investment losses occur under the supervision of a financial advisor. A broker may be found guilty of negligence when they did not commit willful misconduct (i.e., broker fraud) but failed ...
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 ...
Arbitration Claims Against Edward Jones Include Supervisory Failures, Misappropriation, Amongst Others According to BrokerCheck, Edward Jones has been the subject of 73 regulatory events, 2 civil events, and 148 arbitration claims including: 2004 : Edward Jones paid a $75 million ...
Many of these investors are alleging different types of securities fraud : unsuitability, misrepresentation, breach of fiduciary duty, failure to supervise, negligence, and other claims. SSEK Law Firm is committed to fighting for these investors. We have over 30 years ...
Income Real Estate Investment Trust (REIT) UWT or VelocityShares 3x Long Crude Oil ETN Vida Longevity Fund, LP Northstar Financial Services (Bermuda) Although market volatility can play a role in causing alternative investments to lose value, unsuitability, misrepresentations and omissions, ...
FINRA Sanctions Titan Securities for Supervisory Failures In June 2021, the Financial Industry Regulatory Authority (FINRA)’s National Adjudicatory Council made the decision to suspend Titan Securities owner and CEO Brad Brooks for a year. The sanction was over Titan Securities' ...
