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Search Results: unauthorized trading
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Date: August 10, 2026
The firm is helping affected clients evaluate legal options, including potential FINRA arbitration claims over supervisory failures and unauthorized third-party account breaches. If you are retail investor who suffered significant losses on tastytrade , Shepherd Smith Edwards and Kantas ( ...
Date: October 22, 2025
Illinois Investor Sues Open to the Public Investing After Losing Hundreds of Thousands of Dollars Unauthorized Third Party Accessed Her Brokerage Account And Made Trades Without Permission Shepherd Smith Edwards and Kantas Securities Law Firm ( investorlawyers.com ) is representing ...
Date: February 13, 2025
Our Unauthorized Trading Lawyers May Be Able To Help If you sustained investment losses while ex-stockbroker Justin William Pagel, Shepherd Smith Edwards and Kantas Unauthorized Trading Lawyers ( investorlawyers.com ) would like to talk to you.
Date: January 6, 2025
The claimant, who filed his broker fraud lawsuit in 2023, alleged negligence, breach of contract, breach of fiduciary duty over the broker-dealer’s purported “inaction” to stop unauthorized trades in the account of an older investor in declining health, and more. ...
Date: March 25, 2024
A former top 100-Barron’s broker leading a team overseeing $3B in assets, he was barred by the Financial Industry in 2023 following allegations of excessive trading and other kinds of broker misconduct.
Date: December 11, 2023
The ex-financial advisor has been accused of different kinds of stockbroker misconduct, including excessive trading, unauthorized trading, improper options trading, unsuitability, misrepresentations, breach of fiduciary duty, breach of contract, and negligence. Continue Reading ›
Date: December 11, 2023
Unauthorized Trading Can Lead To Serious Investor Losses Ex-DA Davidson Broker Andrew David Schell Has Been Involved in 19 Customer Disputes If you suffered investment losses while working with former Colorado financial advisor Andrew Schell, please contact Shepherd Smith Edwards ...
Date: October 23, 2023
I’m An Investor Whose Broker Engaged in Unauthorized Trading. What Should I Do? Our Trusted Securities Lawyers Are Investigating Claims of Losses Involving Aegis Stockbroker Joseph LaScala Unauthorized trading is what happens when your financial advisor buys or sells assets ...
Date: August 22, 2023
Fired Oppenheimer Broker Zachary Taylor Under Scrutiny Following Unauthorized Trading Allegations Our Skilled California Broker Negligence Attorneys Are Investigating Investor Losses Involving This Newport Beach Financial Advisor If you suffered significant losses while working with former Oppenheimer stockbroker Zachary Ellis ...
Date: June 5, 2023
The move comes following multiple allegations by his clients that he engaged in unsuitable investment recommendations and unauthorized trading. Continue Reading ›
