This means only employing a trading strategy or making investment recommendations that fully align with the investor’s goals, portfolio, and risk tolerance level. Unauthorized trading , misappropriation, misrepresentations and omissions , churning , overconcentration , breach of contract , selling ...

This entails tactics such as unauthorized trading, misrepresentation, pressuring sales tactics, and more. ... Churning: This occurs when a broker participates in excessive trading to generate excess commissions rather than investing in the client's best interests. ... Unauthorized trading claims: ...

As a matter of fact, 90% of the those who have retained our legal services have recovered all or part of their investment losses caused by one or more of the following: Misrepresentations and Omissions Negligence Unsuitability Margin account abuse ...

Filing a FINRA Arbitration Claim Against Edward Jones If you are an Edward Jones customer and you suspect that your broker or investment advisor caused your losses by making an unsuitable recommendation , engaging in misrepresentations and omissions , overconcentrating ...

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 ...