These losses may have been a result of unsuitability, misrepresentations and omissions , overconcentration, and other types of financial advisor negligence.

Watch Video What is the difference between a misrepresentation and an omission? Misrepresentations, Omissions & Fraud Leading to Investment Loss Watch Video What is the difference between statutes of limitation and the eligibility rule in FINRA arbitration? The FINRA Time ...

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. We have handled over a thousand cases ...

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 ...

The firm must approve all communications to ensure financial advisors/brokers are not making misrepresentations. Given that the means of transmission could be emails, texts, Twitter and Facebook messages, supervisors must be extra diligent. They must be watchful of brokers’ communications ...

Misrepresentations and Omissions: Even when done unintentionally, leaving out key information about an investment or misrepresenting material facts or risks can cause customers to agree to a transaction or strategy they wouldn't have otherwise.

Did You Know That Misrepresentations and Omissions Can Be Grounds for an Investor Claim? While theft or misappropriation most commonly comes to mind when people think of broker fraud, there are other ways in which a brokerage firm or its ...

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 ...

This is known as making misrepresentations and omissions . Brokerage Firm Negligence Brokerage firms can be held liable for failing to supervise their registered representative when investors lose money.