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 ...

We work with investors seeking to recover investment and bond losses caused by unsuitable investment recommendations, misrepresentations and omissions, churning, unauthorized trading, and other kinds of broker misconduct or negligence. ... The claimants accused the broker-dealer of unsuitably recommending non-traded ...

What Is Unauthorized Trading? ... That often results in unauthorized trading claims. ... Other Examples of Unauthorized Trading A financial advisor notes down an unauthorized trade as unsolicited, which makes it seem as if the trade was the customer's idea. ...

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 ...

Explaining the term “rescission” with an example of rescission offers with a non-traded REIT. ... Watch Video What is unauthorized trading? Unauthorized Trading, Broker Fraud and Investment Loss Watch Video Where will a FINRA securities arbitration take place?

Churning is what happens when a broker excessively trades in a customer’s account to earn more commissions. ... Excessive Trading Is Costly Even Beyond The Commissions Churning can dramatically increase a client’s risk of loss. ... Excessive trading also dramatically ...

BofA Securities, which is Bank of America’s multinational investment banking division, offers services related to mergers, acquisitions, lending, equity and debt capital markets, risk management, trading, liquidity and payments management, and research. ... It also runs the electronic trading platform, ...

There was also the 2011 rogue trader scandal that resulted in a more than $2B loss from unauthorized trading. ... Some Other Recent Major Regulatory & Investigative Claims Involving UBS July 2021 : Paying over $8M, UBS Financial Services settled ...

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 ...

Risky Investments: Investing a conservative senior's funds in risky investments, such as private placements, nontraded real estate investment trusts (nontraded REITs), exchange-traded funds (ETFs), business development companies (BDCs), structured products, oil and gas investments, collateralized loan obligations (CLOs), or collateralized ...