Investment & Securities Fraud Lawyers Website

Search Results: failure to supervise

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Alternative Investment Losses

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, ...

Monex Securities

December 2014: Supervisory Failures and Working With Unregistered Persons FINRA found that foreign individuals associated with Monex's parent company earned transaction-related compensation for referring non-US customers to set up accounts at the firm and transmitting orders for those accounts.

Regulation D Private Placements and How They Can The Lead ...

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.

Oppenheimer & Co.

The broker-dealer was also fined $800K for not reasonably supervising these rollovers. January 2015: Federal Securities Law Violations The US Securities and Exchange Commission (SEC) charged the brokerage firm with violating federal securities laws related to the improper sale of ...

UBS AG and Entities

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. SSEK Law Firm has successfully worked with investors in Puerto Rico and the mainland to recover ...

SSEK Law Firm's Update to Investors During the COVID-19 Coronavirus ...

You may be able to recover your savings if any of the following occurred: Failure to take the necessary steps to safeguard your investments during COVID-19 Breach of contract Selling away Misrepresentations and omissions Poor investment advice Failure to recommend ...

How Failure to Supervise Brokers Leads to Investment Loss

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 ...

Broker Negligence Leading to Investment and Bond Losses

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 ...

SSEK Helps Recover Losses Against Titan Securities

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' ...

Portland Office

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 ...

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