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Search Results: unauthorized trading
Results 1-10 of about 95
Date: February 13, 2025
Our Unauthorized Trading Lawyers May Be Able To Help If you sustained investment losses while ex-stockbroker Justin William Pagel, Shepherd Smith Edwards and Kantas Unauthorized Trading Lawyers ( investorlawyers.com ) would like to talk to you. ... This purportedly included ...
Date: January 6, 2025
The claimant, who filed his broker fraud lawsuit in 2023, alleged negligence, breach of contract, breach of fiduciary duty over the broker-dealer’s purported “inaction” to stop unauthorized trades in the account of an older investor in declining health, and more.
Date: March 25, 2024
A former top 100-Barron’s broker leading a team overseeing $3B in assets, he was barred by the Financial Industry in 2023 following allegations of excessive trading and other kinds of broker misconduct. ... In 2022, an investor filed a $2M ...
Date: December 11, 2023
The ex-financial advisor has been accused of different kinds of stockbroker misconduct, including excessive trading, unauthorized trading, improper options trading, unsuitability, misrepresentations, breach of fiduciary duty, breach of contract, and negligence.
Date: December 11, 2023
Unauthorized Trading Can Lead To Serious Investor Losses Ex-DA Davidson Broker Andrew David Schell Has Been Involved in 19 Customer Disputes If you suffered investment losses while working with former Colorado financial advisor Andrew Schell, please contact Shepherd Smith Edwards ...
Date: October 23, 2023
I’m An Investor Whose Broker Engaged in Unauthorized Trading. ... Our Trusted Securities Lawyers Are Investigating Claims of Losses Involving Aegis Stockbroker Joseph LaScala Unauthorized trading is what happens when your financial advisor buys or sells assets in your brokerage ...
Date: August 22, 2023
Fired Oppenheimer Broker Zachary Taylor Under Scrutiny Following Unauthorized Trading Allegations Our Skilled California Broker Negligence Attorneys Are Investigating Investor Losses Involving This Newport Beach Financial Advisor If you suffered significant losses while working with former Oppenheimer stockbroker Zachary Ellis ...
Date: June 5, 2023
The move comes following multiple allegations by his clients that he engaged in unsuitable investment recommendations and unauthorized trading.
Date: May 15, 2023
On May 1, 2023 Massachusetts Secretary of the Commonwealth William Galvin ordered the brokerage firm to pay a $2.5M penalty and over $700K in restitution after finding that it disregarded red flags indicating that Crespi was allegedly engaging in unauthorized ...
Date: November 21, 2022
Turley, who was the financial advisor in at least nine recently filed customer complaints alleging unauthorized and excessive trading, has consented to the bar. ... Last month, FINRA, which was investigating the allegations against him, asked Turley to provide testimony ...
