They're the ones responsible for the misrepresentation and importantly the omissions.

Examples of Broker Misconduct Below are some of the examples of broker misconduct that an investor may experience: Making unsuitable investment recommendations; Making misrepresentations or omissions when marketing an investment product or strategy to a customer; Overconcentrating an investor’s account ...

SSEK Law Firm has secured settlements for investors in securities claims, including misrepresentations and omissions , churning , fraud, negligence , failure to supervise, and much more.

The firm also must disclose all risks involved and refrain from making any misrepresentations about the financial products or trading strategies that they are marketing.

These losses were possibly due to unsuitability , breach of fiduciary duty , misrepresentations and omissions , supervisory failures, or other types of broker misconduct or negligence.

Alleged Supervisory Failures and Misrepresentations and Omissions Lead to Regulatory Sanctions According to BrokerCheck , RBC Capital Markets has 449 disclosures.

A whistleblower who will let authorities know about misrepresentations done by the company has protections under state law and under federal law. ... Being an accredited investor does not necessarily mean you are a sophisticated investor and also does not ...

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 ...

Many of these customers have suffered losses because of unsuitable investment recommendations , misrepresentations, and other kinds of broker misconduct or negligence.

Not only that but the firm's brokers have allegedly made misrepresentations and omissions about the risks involving these limited partnerships.