Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: failure to supervise
Results 10-20 of about 135
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.
Date: September 21, 2021
All of them accuse Metcalf of failing to supervise other registered representatives while he was a Voya Financial Advisors broker.
Date: July 26, 2021
It must now pay a $160K fine and over $370K in restitution for its failure to supervise certain financial products, including leveraged and inverse exchange-traded funds (ETFs), and its brokers’ external activities.
Date: May 28, 2021
Colombian Claimants Allege Negligence, Misrepresentations, and Failure to Supervise Two investors from Bogota, Colombia are pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services for the losses they suffered in Northstar Financial Services (Bermuda).
