As a matter of fact, 90% of the those who have retained our legal services have recovered all or part of their investment losses caused by one or more of the following: Misrepresentations and Omissions Negligence Unsuitability Margin account abuse ...

Western International Securities Broker Peter Steege in Denver, CO With 21 disclosures noted in his CRD, Steege is accused of concentration, unsuitability, and misrepresentations that allegedly caused investors losses.

Filing a FINRA Arbitration Claim Against Edward Jones If you are an Edward Jones customer and you suspect that your broker or investment advisor caused your losses by making an unsuitable recommendation , engaging in misrepresentations and omissions , overconcentrating ...

Did Investment Fraud Lead to Your Financial Loss?

Common Types of Broker Misconduct or Negligence Making inadequate and unsuitable investment recommendations Churning , which involves excessively trading in a customer’s accounts to earn commissions Making misrepresentations and omissions Overconcentration Registration violations Making unauthorized trades without the investor’s permission ...

He made misrepresentations and unsuitably sold these investments to an older Utah couple.

Alleging unsuitability, misrepresentations and omissions, overconcentration, gross negligence, and other claims, they are pursuing up to $500K in damages.

Skilled Broker-Dealer Negligence Lawyers Brokerage firms have a duty to properly supervise their registered representatives and ensure that no unsuitable recommendations, misrepresentations or omissions, or other negligent or wrongful actions have occurred in customers’ accounts.

Our Core Practice Areas At Shepherd Smith Edwards and Kantas, our investment fraud and securities attorneys work with investors who have been victims of the following acts of stockbroker fraud and brokerage firm negligence: Unsuitability Misrepresentations / Omissions Breach of ...

Yet securities fraud and investment advisor fraud happen all the time and may include: Misrepresentations and omissions Unsuitable investment recommendations and sales Overconcentration Excessive trading in a customer’s account, also known as churning Unauthorized trading Failure to execute trades Registration ...