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 ...

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 ...

Here are examples of some of the regulatory events: July 2018: FSC Securities was one of eight brokerage firms ordered to pay a collective $8.7M in fines and restitution by FINRA for their alleged failure to properly supervise and educate ...

SSEK Law Firm has secured settlements for investors in securities claims, including misrepresentations and omissions , churning , fraud, negligence , failure to supervise, and much more.

At SSEK Law Firm, we have represented thousands of investors and recovered many millions of dollars on their behalf over losses caused by: Misappropriation Broker fraud Misrepresentations and Omissions Negligence Unregistered securities sales Other registration violations Failure to execute trades ...

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 ...

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. ...

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.

She also is claiming breach of contract, failure to properly supervise, breach of fiduciary duty, and more.

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.