We work with investors in the United States and abroad with claims against US-based firms in cases alleging unsuitability, churning, unauthorized trading, misrepresentations and omissions, failure to supervise, and other types of securities fraud.

You also need a legal team that understands how to prove the particular claims you are making, whether it be unsuitability , churning , misrepresentations and omissions , breach of fiduciary duty , failure to supervise , or another allegation.

This is called failure to execute . ... Failure to Supervise Brokerage firms have a duty to oversee not just their registered representatives but also supervise what these employees are doing in their customers' accounts.

Many of these investors are alleging different types of securities fraud : unsuitability, misrepresentation, breach of fiduciary duty, failure to supervise, negligence, and other claims.

Raymond James advisors can choose to affiliate with the firm in four different ways: Raymond James & Associates (RJA) model: The broker is an employee in a traditional branch setting under the supervision of a manager. ... Raymond James has ...

The firm hired Fagenson after he had already been fired by UBS Financial Services, where while under heightened supervision, he allegedly violated that firm’s trading policies. ... Recent Regulatory Filings Involving Newbridge Securities 2019 : FINRA censured and fined Newbridge ...

The arrangement constituted a “firm-wide failure” in Morgan Stanley’s disclosure practices, according to the SEC’s director division of enforcement, adding that Morgan Stanley’s “conduct here clearly crossed the line.” ... Morgan Stanley Fined Over “Choice” Accounts The FINRA fined Morgan ...

Some of the allegations may include: Unsuitability Misrepresentations and omissions Churning Selling away Overconcentration Failure to supervise Negligence Margin account Broker fraud Unauthorized trading Breach of fiduciary duty Why Do You Need Your Own Securities Lawyer?

When a failure to supervise allows fraud or negligence to occur, an investor may be able to recover damages from the brokerage firm of record.

December 2014: Supervisory Failures and Working With Unregistered Persons FINRA found that foreign individuals associated with Monex's parent company earned transaction-related compensation for referring non-US customers to set up accounts at the firm and transmitting orders for those accounts. ... ...