Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: failure to supervise
Results 10-20 of about 128
Date: September 21, 2021
All of them accuse Metcalf of failing to supervise other registered representatives while he was a Voya Financial Advisors broker.
Date: July 26, 2021
It must now pay a $160K fine and over $370K in restitution for its failure to supervise certain financial products, including leveraged and inverse exchange-traded funds (ETFs), and its brokers’ external activities.
Date: May 28, 2021
Colombian Claimants Allege Negligence, Misrepresentations, and Failure to Supervise Two investors from Bogota, Colombia are pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services for the losses they suffered in Northstar Financial Services (Bermuda).
Date: April 14, 2021
Claimant Alleges Overconcentration, Unsuitability, Failure to Supervise A Portland, Oregon semi-retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. and is seeking up to $500K in damages.
Date: April 5, 2021
Now, the investor is alleging failure to supervise , unauthorized transactions, securities fraud, broker negligence, breach of duty, breach of contract, violation of state securities laws, and other claims.
Date: March 16, 2021
He also alleged negligence, fraud, breach of fiduciary duty, negligence, omissions, failure to supervise, and breach of contract.
Date: February 16, 2021
Settlement in FINRA Case Involves Repaying Nearly $44K to Affected Customers The Financial Industry Regulatory Authority (FINRA) has ordered Triad Advisors to pay a $150K fine for not adequately supervising both short-term trades involving Class A shares of mutual funds ...
Date: September 14, 2020
The claimant contends that it was the victim of broker negligence and the firm’s failure to supervise.
Date: March 1, 2020
Broker-Dealers Accused of Not Properly Supervising Custodial Accounts The Financial Industry Regulatory Authority (FINRA) announced that it has fined five major firms $1.4M in total for not reasonably supervising custodial accounts.
Date: November 1, 2019
Now, the Colorado Division of Securities is considering pulling Centaurus’s license in that state over its alleged failure to properly supervise Mantei and Chiellini.
