A failure to properly disclose material information can cause an investor to buy a security or agree to an investing strategy that, unbeknownst to them, is too high-risk for their investment portfolio. Unfortunately, many Oregon investors have lost money because ...

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 ...

At SSEK Law Firm, we have represented thousands of investors and recovered many millions of dollars on their behalf over losses caused by: Misappropriation Broker fraud Misrepresentations and Omissions Negligence Unregistered securities sales Other registration violations Failure to execute trades ...

those who have retained our legal services have recovered all or part of their investment losses caused by one or more of the following: Misrepresentations and Omissions Negligence Unsuitability Margin account abuse Churning Selling away Fraud Overconcentration Unauthorized trading Registration ...

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 ...

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 ...

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' ...

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. Fagenson, barred by FINRA in 2019, has 19 disclosures on his BrokerCheck record.

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 ...