Investment & Securities Fraud Lawyers Website

Search Results: unauthorized trading

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Western Colorado Office

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 ...

Tampa Office

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 ...

Dallas Office

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 ...

UBS AG and Entities

There was also the 2011 rogue trader scandal that resulted in a more than $2B loss from unauthorized trading. ... Some Other Recent Major Regulatory & Investigative Claims Involving UBS July 2021 : Paying over $8M, UBS Financial Services settled ...

Ex-J.P. Morgan Broker Ed Turley Investigation

Customer Disputes Involving Turley According to BrokerCheck: July 2021: This investor is requesting $18M in damages for allegedly unsuitable trading and exercise of discretion between 2018 and 2020. September 2020: Also alleging unsuitable trading and exercise of discretion these customers ...

Broker Misconduct Claims

Examples of Broker Misconduct Below are some of the examples of broker misconduct that an investor may experience: Making unsuitable investment recommendations; Making misrepresentations or omissions when marketing an investment product or strategy to a customer; Overconcentrating an investor’s account ...

Denver Office

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 ...

Stockbroker Fraud and Investor Claims for Investment Losses

For many investors, trading in this way is far too risky and unsuitable. ... Churning Churning occurs when a broker engages in excessive trading in an account. ... Unauthorized Trading Before placing an order to buy or sell securities for ...

Securities Lawyers

Some of the allegations may include: Unsuitability Misrepresentations and omissions Churning Selling away Overconcentration Failure to supervise Negligence Margin account Broker fraud Unauthorized trading Breach of fiduciary duty Why Do You Need Your Own Securities Lawyer?

How to Fight Unauthorized Trading, Broker Fraud and Investment Loss

What Is Unauthorized Trading? ... That often results in unauthorized trading claims. ... Other Examples of Unauthorized Trading A financial advisor notes down an unauthorized trade as unsolicited, which makes it seem as if the trade was the customer's idea. ...

★★★★★

"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self-respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.

"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient, and I never felt rushed. I have already told friends how wonderful he is." L.R.

"I want you to know that I very much appreciate your expertise, hard work, and guidance that led to a satisfactory resolution with Raymond James. From our first meeting, I felt "heard" and that my situation and story were respected. Every subsequent interaction I had with any of you - in person, via email, or by phone - only corroborated that feeling. What great work you do on behalf of people like me who have been wronged, yet don't know how to navigate the appeals/mediation/arbitration process as you do. I will be forever grateful." M.L.

"Good positive experience. Guided us through a difficult process and was pleased with the outcome. Everyone I dealt with was exceptional." A.G.

"Good intelligent attorneys who never miss a beat. I set my expectations high, and they delivered above and beyond. Do not miss the opportunity to let SSEK represent you. Top-notch, efficient and effective firm." S.M.

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