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Search Results: failure to supervise
Results 1-10 of about 135
Date: April 2, 2025
When Sunshine State Investors Lose Because Of Lax Oversight By Broker-Dealers From our securities law office in Tampa, FL, Shepherd Smith Edwards and Kantas Florida Failure To Supervise Law Firm ( investorlawyers.com ) represent investors throughout the state whose portfolio ...
Date: April 2, 2025
When a failure to supervise allows or neglects to prevent broker fraud from happening, an investor who suffers losses as a result may be able to sue for damages. Shepherd Smith Edwards and Kantas Dallas Failure To Supervise Attorneys ( ...
Date: February 18, 2025
Houston, TX Failure To Supervise Law Firm. Our Securities Lawyers Have Been Representing Texas Investors Against Broker-Dealers And Investment Advisors for More Than 30 Years Since 1990, the Shepherd Smith Edwards and Kantas Houston Failure To Supervise Law Firm ( ...
Date: January 23, 2025
Did You Suffer Investment Losses Because of a Failure To Supervise By Your Broker? Newbridge Securities Agrees To Pay $105K in FINRA Settlement If you sustained significant portfolio losses while working with a broker-dealer, and you wonder whether you were ...
Date: January 6, 2025
Already, the broker-dealer has had to pay millions of dollars to former clients, including, recently, a more than $14.2M arbitration claim that included $9M in punitive damages to a Florida couple and $2.35M to another investor who accused the broker-dealer ...
Date: December 29, 2024
In her FINRA arbitration claim, our retiree client is alleging unsuitable investment recommendations, misrepresentations and omissions, failure to supervise, negligence, and more.
Date: September 26, 2024
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 ...
Date: September 13, 2024
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. ...
Date: May 19, 2024
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.
