Alleged Supervisory Failures and Misrepresentations and Omissions Lead to Regulatory Sanctions According to BrokerCheck , RBC Capital Markets has 449 disclosures.

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 ...

Video Summary: Misrepresentations, Omissions & Fraud Leading to Investment Loss Video Transcript: Simply put a misrepresentation is when someone lies to you, either willfully or even negligently.

Many investors may not have been apprised of the risks involved and were the victims of misrepresentations and omissions by their brokers.

Sometimes, this recommendation, coupled with stockbroker negligence, misrepresentations or account mismanagement, can lead to significant investment losses.

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 ...

Video Summary: Being an accredited investor does not necessarily mean you are a sophisticated investor and also does not justify any unsuitable recommendations or any misrepresentations when selling an investment. ... Investors are allowed to buy certain investments that an ...

Should we agree to work together, our broker misconduct attorneys would conduct a thorough investigation into the cause of your losses and whether unsuitability, Reg BI violations , misrepresentations and omissions, overconcentration, or negligence was involved.

Presley's former clients accused him of misrepresentations, negligence, and unsuitability.

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 ...