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Search Results: failure to supervise
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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.
At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to: Financial product failures Stockbroker fraud Negligence Overconcentration Unsuitability Investment adviser misappropriation Misrepresentations and omissions Elder financial abuse Breach of fiduciary duty Failure to supervise Churning ...
Common Types of Broker Misconduct or Negligence Making inadequate and unsuitable investment recommendations Churning , which involves excessively trading in a customer’s accounts to earn commissions Making misrepresentations and omissions Overconcentration Registration violations Making unauthorized trades without the investor’s permission ...
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?
The firm must supervise every single financial advisor under its control to ensure all communications are fair and balanced. ... The duty is absolute and there are consequences for failure.
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? ... Most of our ...
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 ...
Investors may bring a negligence claim against a broker when investment losses occur under the supervision of a financial advisor. ... Failure To Execute Trades There is little incentive for a broker not to place an order. However, millions of ...
The broker-dealer was also fined $800K for not reasonably supervising these rollovers. ... July 2007: Supervisory Failures Massachusetts fined Oppenheimer & Co. $1M for supervisory failures that allowed one of its brokers to defraud a widow.
Our clients include senior and younger retirees and investors who have not yet retired but have lost money in their retirement fund because of careless or improper handling and failure to supervise.