You may be able to recover your savings if any of the following occurred: Failure to take the necessary steps to safeguard your investments during COVID-19 Breach of contract Selling away Misrepresentations and omissions Poor investment advice Failure to recommend ...

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 ...

At Shepherd Smith Edwards and Kantas, we represent investors seeking to recoup damages related to: Financial product failures Stockbroker fraud Negligence Overconcentration Unsuitability Investment adviser misappropriation Misrepresentations and omissions Elder financial abuse Breach of fiduciary duty Failure to supervise Churning ...

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 ...

Many of these investors are alleging different types of securities fraud : unsuitability, misrepresentation, breach of fiduciary duty, failure to supervise, negligence, and other claims.

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 ...

This type of venture has a higher risk of failure than businesses funded via more traditional means. ... Unfortunately, failure to supervise , due diligence failures, negligence, and misconduct by brokers and their firms can cause non-traded securities investors to ...

Despite your financial advisor claiming market volatility or adverse events, such as COVID-19, are to blame for your investment failure. ... List of Financial Product Failures That SSEK Law Firm is Investigating This curated list has some of the many ...

Royal Alliance FINRA investigated Royal Alliance, which neither admitted nor denied the conclusions, regarding its failure to offer discounts on sales charges to consumers who qualified for such reductions. ... Moreover, FINRA asserted that the firm neglected to supervise its ...

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 ...