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Search Results: failure to supervise
Results 1-10 of about 128
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. ...
Date: May 19, 2024
In the broker fraud claim, the estate is alleging best interest violations, unsuitable investment recommendations, misrepresentations and omissions, breach of contract, breach of fiduciary duty, negligence, failure to supervise, and more.
Date: May 7, 2024
She also is claiming breach of contract, failure to properly supervise, breach of fiduciary duty, and more.
Date: April 15, 2024
In her FINRA lawsuit, this retiree is alleging unsuitability, negligence, misrepresentations and omissions, breach of fiduciary duty, gross negligence, due diligence failures, breach of contract, failure to supervise, and unjust enrichment.
Date: October 25, 2023
Seeking up to $500K in damages, our client is also alleging unsuitable investment recommendations, due diligence failures, misrepresentations and omissions, and gross lack of supervision.
Date: September 18, 2023
While Oppenheimer does not appear to have been directly involved in the fraud, run by its ex-broker John Woods in Georgia, there appear to be grounds for suing the broker-dealer for its purported gross negligence and failure to properly supervise ...
Date: August 8, 2023
When Failure To Supervise Enables Broker Theft LPL Financial Fined $3M After Its Financial Advisors Steal From 13 Customers If your broker-dealer failed to identify and investigate red flags indicating possible misconduct or fraud by your financial advisor you may ...
Date: November 8, 2022
When Failure To Supervise Enables Broker Fraud Texas Retirees Whose Financial Advisor Stole Their Savings File FINRA Arbitration Claim Against Planmember Securities As their customer, your broker-dealer has a fiduciary duty to properly supervise your accounts and your financial advisor’s ...
Date: August 27, 2022
State Securities Regulator Seeks to Ban Former Capital Planning Group Investment Adviser Massachusetts securities regulator William Galvin has fined MassMutual broker-dealer subsidiary MML Investors Services $250K for its alleged failure to supervise its former registered representative Charles Jonathan Evan.
