Omissions

Misrepresentations and Omissions Lawyers

Published on: November 13, 2024 | by Shepherd Smith Edwards & Kantas, LLP

When Misrepresentations Lead To Investor Losses

Two JPMorgan Chase Affiliates Ordered to Pay $151M By the SEC

Broker-dealers are required to ensure that customers are given accurate and complete information when it comes to investments that they are recommending. This is one of the reasons that in a recent enforcement action, the US Securities and Exchange Commission (SEC) announced that JPMorgan Securities and JPMorgan Investment Management agreed to pay a combined $151M in civil penalties and investor payments to settle a number of enforcement actions over allegations that included misleading disclosures, as well the failure to act in clients’ best interests and a breach of fiduciary duty.

Texas Misrepresentations and Omissions Lawyers

Published on: April 10, 2024 | by Shepherd Smith Edwards & Kantas, LLP

Shepherd Smith Edwards and Kantas Texas Misrepresentations and Omissions Lawyers Is Investigating Ex-BOK Financial Securities Broker Gihan Fernando

Texas Stockbroker, Now With Cetera, Has 27 Customer Complaints On His CRD Record

If you suffered investment losses while working with Houston, TX financial advisors Gihan Anil Fernando, Shepherd Smith Edwards and Kantas (investorlawyers.com) want to talk to you. The Texas broker is accused by more than two dozen investors of making misrepresentations and omissions regarding certain investment products while he was a BOK Financial Securities registered representative. According to Gihan Fernando’s CRD, 26 of those FINRA arbitration claims, all filed between 2020 and 2024, resulted in settlements.

Misrepresentations or Omissions

Published on: February 28, 2023 | by Shepherd Smith Edwards & Kantas, LLP

When Your Investor Loss Are Due To Broker Misrepresentations or Omissions

Our Broker Negligence Lawyers Can Help You Explore Your Legal Options

Stockbrokers and investment advisers are supposed to provide you with appropriate financial advice. This includes their duty to give you a full and accurate depiction of the financial product, trade, or investing strategy they are recommending, as well as fully inform you about all of the risks.