Contrary to what some may think, high-net-worth investors, accredited investors, and institutional investors can suffer devastating investment losses due to unsuitable investment recommendations, overconcentration, or misrepresentations and omissions by their financial advisors.

Misrepresentations and Omissions Brokers and investment advisors are obligated only to make investment recommendations that are in a customer’s best interests. This means they must conduct the proper due diligence before marketing a security or investment product to you and ...

Video Summary: Misrepresentations, Omissions & Fraud Leading to Investment Loss Video Transcript: Simply put a misrepresentation is when someone lies to you, either willfully or even negligently.

The Act established laws against fraud and misrepresentation involving the markets. ... Some of the allegations may include: Unsuitability Misrepresentations and omissions Churning Selling away Overconcentration Failure to supervise Negligence Margin account Broker fraud Unauthorized trading Breach of fiduciary duty ...

This may also happen because a financial advisor made misrepresentations and omissions when marketing FS Energy & Power Fund to customers or merely failed to apprise them of the risks they were taking on.

Many investors contend that their financial advisors made misrepresentations , causing them to think that this was a safe, income generating investment.

If a brokerage firm marketed and sold you regulation D securities, you may be able to pursue damages if they failed to conduct proper due diligence into this offering, unsuitably recommended this investment to you, made misrepresentations or omissions, or ...

Our Core Practice Areas At Shepherd Smith Edwards and Kantas, our investment fraud and securities attorneys work with investors who have been victims of the following acts of stockbroker fraud and brokerage firm negligence: Unsuitability Misrepresentations / Omissions Breach of ...

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 ...

Millions of Americans across the United States have fallen victim to broker misconduct and other instances of investor claims, including negligence, churning, and misrepresentation. ... Many investors have fallen victim to churning, misrepresentation, and other investor claims. ... Often the ...