San Francisco Failure To Supervise Law Firm

San Francisco Failure To Supervise Law Firm is Representing SF Bay Area Investors In Their FINRA Lawsuits Against Brokerage Firms

Throughout the San Francisco Peninsula, and surrounding areas, Shepherd Smith Edwards and Kantas San Francisco Failure To Supervise Law Firm (investorlawyers.com) works with investors in recouping their portfolio losses that were caused, even if just in part, by a failure to supervise. Broker-dealers have a duty to properly oversee their registered representatives, any associated persons, and activities in customer accounts.

When Failure To Supervise Leads To Serious Losses for San Francisco Investors

Financial Industry Regulatory Authority Rule 3110 stipulates that brokerage firms must have the necessary regulations and supervisory procedures, including written ones, in place. They also must regularly look at customer accounts to watch out for potential signs of financial advisor misconduct or fraud.

Broker-dealers need to make sure their stockbrokers are properly trained and that even financial advisors working solo out of branch offices still receive some type of oversight. Even the firm’s supervisors must be managed by someone. When there are securities transactions involving the brokerage firm’s own records and books involving outside business, this too requires proper supervision.

Correct supervision not only can help identify red flags indicating broker fraud or negligence, but it can also prevent or stop any kind of wrongdoing from happening, including unsuitable investment recommendations, unauthorized trading, overconcentration, selling away, gross negligence, misappropriation, and elder financial exploitation. Yet, a failure to supervise continues to be one of the most common grounds cited in investment loss recovery claims against broker-dealers.

What Should You Do If You Are a SF Bay Area Investor Who Is The Victim of Broker-Dealer Supervisory Failures?

Your first step should be to contact Shepherd Smith Edwards and Kantas to schedule your free, initial case assessment so we can help you determine whether you have grounds for a claim against your broker-dealer. Even if the firm was unaware of wrongdoing in a customer’s account, whether misappropriation by a third party or their own financial advisor, they could be held liable if their failure to supervise enabled such actions.

Suing your broker-dealer is not easy, This is why you need a trusted San Francisco Failure To Supervise Law Firm by your side.

It is important that you do not try to resolve your broker-dealer negligence case on your own. Most brokerage firms would rather deny any allegations of misconduct rather than have to pay investors who were harmed. Our securities law firm has the skills, resources, and experience to maximize your chances for a full recovery while protecting your legal rights.

What Can You Expect If You Decide To File An Investment Loss Recovery Claim?

Because you likely signed a predispute arbitration clause, FINRA arbitration is where you will have to bring your case. Our San Francisco Bay Area supervisory failure law firm is well-versed in this legal forum, which requires different strategies than what would be employed in court.

We have represented investors in more than 1000 matters in arbitration, litigation, mediation, and negotiations. We also helped retail investors, retirees, accredited investors, elderly investors, high-net-worth investors, ultra-high-net-worth investors, and institutional investors in helping them recoup their losses against negligent broker-dealers and investment advisers.

More than 90% of our clients have received full or partial financial recovery in settlements and awards because of our seasoned and committed efforts.

Many of us are former financial advisors who left that industry because of the many unsavory practices and behaviors that we witnessed. It is why we do what we do now—fighting for investors like yourself.

When you work with our San Francisco Failure To Supervise Law Firm, know that you will receive quality securities representation and personalized attention. We understand how stressful and impacting it can be to sustain serious portfolio losses, and we are here to help.

Contact Our Northern California Failure To Supervise Law Firm 

Throughout and surrounding the San Francisco Bay Area, call (800) 259-9010 or (415) 287-0877 or fill out this form.

Our Law Office Address:

1 Embarcadero Ctr #500
San Francisco, CA 94111