Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investment & Securities Fraud Lawyers Website
Search Results: failure to supervise
Results 40-50 of about 51
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 ...
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.
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 ...
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.
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.
Here are a few of them: February 2021: Failure to Supervise The Financial Industry Regulatory Authority (FINRA) imposed approximately $194K in fines and restitution over Triad Advisor’s purported failure to supervise a financial advisor who was accused of making unsuitable ...
in a customer’s account; Failing to execute orders or trades; Committing registration violations; Selling away : When a broker marketing and selling investment products that the firm does not approve of; Misappropriating investors' funds; Broker negligence: Involves failing to provide ...
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 ...
