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Articles Tagged with Securities Lawyers

Securities Lawyers

Published on: December 20, 2023 | by Shepherd Smith Edwards & Kantas, LLP

What Should Investors Know When Filing a Broker Negligence Lawsuit?

Allow Our Trusted Securities Lawyers To Offer You A Free Case Assessment

Many victims of broker fraud often falsely believe that they only have grounds for suing their financial advisor if intentional misconduct, such as misappropriation, occurred. The truth is that you can also go after your stockbroker if negligent behavior contributed to you suffering investment losses.

Unauthorized Trading Attorneys

Published on: October 23, 2023 | by Shepherd Smith Edwards & Kantas, LLP

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 in your brokerage account without your prior knowledge and/or permission. This type of broker misconduct is prohibited by the Financial Industry Regulatory Authority (FINRA) and brokerage firms have a duty to have the proper procedures, systems, and rules in place to prevent this from happening.