David Lerner Associates Brokers Who Appear To Have Recommended SOAEX To Customers Alan Lowenfels Richard Lerner Francisco Cabral Gary Isler Martin Lerner David Oser William Campbell Rafael Klein Daniel Lerner Charles Bonilla Michael Norton Glen Werner Brokerage firms have a ...

II FS Energy and Power Fund GPB Capital Holdings Private Placement Funds Northstar Healthcare Income Real Estate Investment Trust (REIT) UWT or VelocityShares 3x Long Crude Oil ETN Vida Longevity Fund, LP Northstar Financial Services (Bermuda) Although market volatility can ...

Due diligence failures could be a factor, and your broker-dealer may even have neglected to determine whether Healthcare REIT was unsuitable for you before suggesting that you buy. Your financial firm may have also failed to supervise your broker and ...

FINRA Sanctions Titan Securities for Supervisory Failures In June 2021, the Financial Industry Regulatory Authority (FINRA)’s National Adjudicatory Council made the decision to suspend Titan Securities owner and CEO Brad Brooks for a year. The sanction was over Titan Securities' ...

Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) represents UIT investors throughout the US who have suffered significant losses caused by broker negligence or misconduct , including a broker-dealer’s failure to properly supervise its financial advisors.

Its branch offices are primarily one and two-person establishments where registered representatives are supervised remotely, which means there is no supervisor onsite. ... Recent Regulatory Claims Involving Centaurus Financial Some of the recent regulatory claims involving the broker-dealer Centaurus Financial ...

Next Financial Group Also Accused of Failing to Properly Supervise Its Stockbrokers In another instance, according to the regulatory body FINRA, which oversees brokerage firms and advisors that work for them, NEXT did not properly implement and maintain a reasonable ...

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 ...

To determine if you o determine if you have grounds for financial recovery we will look at a couple different things including various forms of broker negligence fraud unsuitable investment recommendations failure to supervise and breach a fiduciary duty.

Our clients include senior and younger retirees and investors who have not yet retired but have lost money in their retirement fund because of careless or improper handling and failure to supervise.