Articles Tagged with Failure To Supervise Law Firm

Did You Suffer Investment Losses Because of a Failure To Supervise By Your Broker? Newbridge Securities Agrees To Pay $105K in FINRA Settlement

If you sustained significant portfolio losses while working with a broker-dealer, and you wonder whether you were the victim of failure to supervise by the firm, contact Shepherd Smith Edwards and Kantas Failure To Supervise Law Firm (investorlawyers.com). We can help you assess the cause of your losses and explore your legal options.

Failure to supervise is the term used to refer to when your broker-dealer does not fulfill its duty of care to properly monitor not just its financial advisors but also their activities in customers’ accounts. When this breach of fiduciary duty enables broker misconduct, fraud, or negligence to happen, and serious investment losses, the investor who was harmed may be able to sue for damages.