Investment & Securities Fraud Lawyers Website

Search Results: failure to supervise

Results 40-50 of about 51

Broker Negligence Leading to Investment and Bond Losses

Failure to Conduct Due Diligence: Our investment loss attorneys at SSEK Law Firm once had a large string of cases in which the brokerage firm told the broker that a particular product was safe and conservative. ... The broker's failure ...

Retirement Investment Losses

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.

Lexington Office

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 ...

How Failure to Supervise Brokers Leads to Investment Loss

Examples of Failure to Supervise There are many instances where an investor can file a failure to supervise a claim against a broker or their firm. ... In a particular example of failure to supervise, a broker churned a client's ...

Portland Office

A failure to properly disclose material information can cause an investor to buy a security or agree to an investing strategy that, unbeknownst to them, is too high-risk for their investment portfolio. ... Unsuitability may also refer to: Excessive trading ...

Oppenheimer & Co.

The broker-dealer was also fined $800K for not reasonably supervising these rollovers. ... July 2007: Supervisory Failures Massachusetts fined Oppenheimer & Co. $1M for supervisory failures that allowed one of its brokers to defraud a widow.

Alternative Investment Losses

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 ...

UBS AG and Entities

These fines were related to the broker-dealer’s sale of Puerto Rico municipal bonds to customers and its lack of proper supervision over these transactions. ... Some Other Recent Major Regulatory & Investigative Claims Involving UBS July 2021 : Paying over ...

Ameriprise Financial, Inc.

These offices are usually self-supervised with no onsite compliance personal. ... New Jersey goes on to say that during the years 2010 and 2015 Ameriprise neglected to reasonably supervise the purchases of AIS in the state. ... SEC Admonished Broker-Dealer ...

SSEK Law Firm's Update to Investors During the COVID-19 Coronavirus ...

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 ...

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