Articles Posted in Brokerage Firm Arbitration

When Failure To Supervise Enables Broker Fraud Texas Retirees Whose Financial Advisor Stole Their Savings File FINRA Arbitration Claim Against Planmember Securities  As their customer, your broker-dealer has a fiduciary duty to properly supervise your accounts and your financial advisor’s activities when working with you. Unfortunately, failure to supervise these…

Shepherd Smith Edwards and Kantas Continues To Represent Northstar Financial Services (Bermuda) Investors With Brokerage Firm Arbitration Claims Our expert Northstar Financial Services (Bermuda) Brokerage Firm Arbitration attorneys at Shepherd Smith Edwards and Kantas are continuing to investigate claims by investors seeking to recover losses they sustained in this obscure,…