“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.”

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 ...

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 ...

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 ...

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, ...

You also need a legal team that understands how to prove the particular claims you are making, whether it be unsuitability , churning , misrepresentations and omissions , breach of fiduciary duty , failure to supervise , or another allegation. ...