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Search Results: failure to supervise
Results 1-10 of about 136
Date: April 16, 2025
In her FINRA lawsuit, our client is alleging unsuitable investment recommendations , misrepresentations and omissions, failure to supervise, excessive concentration, negligence, gross negligence, breach of contract, and more.
Date: April 2, 2025
When Sunshine State Investors Lose Because Of Lax Oversight By Broker-Dealers From our securities law office in Tampa, FL, Shepherd Smith Edwards and Kantas Florida Failure To Supervise Law Firm ( investorlawyers.com ) represent investors throughout the state whose portfolio ...
Date: April 2, 2025
When a failure to supervise allows or neglects to prevent broker fraud from happening, an investor who suffers losses as a result may be able to sue for damages. Shepherd Smith Edwards and Kantas Dallas Failure To Supervise Attorneys ( ...
Date: February 18, 2025
Houston, TX Failure To Supervise Law Firm. Our Securities Lawyers Have Been Representing Texas Investors Against Broker-Dealers And Investment Advisors for More Than 30 Years Since 1990, the Shepherd Smith Edwards and Kantas Houston Failure To Supervise Law Firm ( ...
Date: January 23, 2025
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 ...
Date: January 6, 2025
Already, the broker-dealer has had to pay millions of dollars to former clients, including, recently, a more than $14.2M arbitration claim that included $9M in punitive damages to a Florida couple and $2.35M to another investor who accused the broker-dealer ...
Date: December 29, 2024
In her FINRA arbitration claim, our retiree client is alleging unsuitable investment recommendations, misrepresentations and omissions, failure to supervise, negligence, and more.
Date: September 26, 2024
Are You An Investor Who Suffered Losses Because of Broker-Dealer Supervisory Failures? FINRA Orders Wells Fargo Clearing To Pay Over $3M Following Allegedly Unsuitable Short-Term Trades Shepherd Smith Edwards and Kantas Failure To Supervise Investor Attorneys ( investorlawyers.com ) represent ...
Date: September 13, 2024
Raymond James To Pay $1.8M Fine Over Purported Mutual Fund Monitoring Failures Potentially Unsuitable Mutual Fund Switching May Have Caused Excessive Sales Fees, Commissions Raymond James Financial Services and Raymond James & Associates, which are both Raymond James Financial Inc. ...
