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 ...

Many of the brokers who sold Highlands REIT to customers made misrepresentations and omissions when it came to disclosing the risks, such as the poor conditions of the properties involved.

Making misrepresentations or omitting key facts , including not properly conveying the risks involved in a unit investment trust, can lead to an investor losing money.

This includes not making misrepresentations and omissions when explaining these recommendations and apprising an investor of the risks.

Regardless of whether the misrepresentation was purposeful or negligent, you were still wronged.

Other alleged misrepresentations and omissions include that Structured CDs would perform like traditional bank certificates of deposit; that the market value would not decrease during the life of the investments; and that the Investment Products were liquid.

FINRA arbitration allows investors to pursue damages directly from the brokerage firms whose due diligence failures, misrepresentations and omissions , poor recommendations, and other misconduct or negligence caused them financial harm.

Each lawyer and staff member of our firm is devoted to assisting investors to recover losses caused by unsuitability, over-concentration, fraud, misrepresentation, self-dealing, unauthorized trades or other wrongful acts, whether intentional or negligent.

It involves misrepresentations/omissions and a lack of due diligence on the part of the bank/brokerage firm.

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?