监督不足Category Archives — Page 2 of 6 — Investor Lawyers Blog Published By Investment Fraud Attorneys — Shepherd Smith Edwards & Kantas, LLP

Morgan Stanley Wealth Management To Pay Over $949K for Inadequately Supervising Ex-Broker Kevin Gunnip

Published on:August 25, 2020 | 经过Shepherd Smith Edwards＆Kantas，LLP

摩根士丹利和解包括FINRA FINE和投资者赔偿

根据金融业监管局（FINRA）的数据，摩根士丹利财富管理公司已同意支付$ 17.5万美元的罚款，并因涉嫌未能监督其前经纪人凯文·冈尼普（Kevin Gunnip）而赔偿77.4万美元。

The Texas-based financial representative is accused of excessively trading in preferred securities and corporate bonds over five years, causing 10 customers to lose more than $900K.

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前希利亚德·里昂斯（Hilliard Lyons）股票经纪人克里斯托弗·贝内特（Christopher Bennettbob200体育

Published on:2020年8月17日 | 经过Shepherd Smith Edwards＆Kantas，LLP

FINRABars Ex-Registered Rep, Who Wouldn’t Cooperate In Investigation

Christopher Duke Bennett, an ex-Hilliard Lyons broker, is barred by the Financial Industry Regulatory Authority (FINRA). Bennett has been the subject of 15 numerous securities fraud customer disputes over the years.

The bar comes after he refused to cooperate in the self-regulatory organization’s (SRO’s) probe that was opened in the wake of several people accusing him ofunauthorized tradingand making unsuitable investment recommendations. Bennett also is no longer a registered investment adviser.

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摩根士丹利经纪人认罪至600万美元的投资欺诈

Published on:July 31, 2020 | 经过Shepherd Smith Edwards＆Kantas，LLP

前摩根士丹利经纪人承认犯罪投资欺诈，面临SEC指控

Michael Barry Carter, a former Morgan Stanley (MS) broker, has pleaded guilty to federal investment fraud and wire fraud charges involving a scam in which he defrauded five customers. This included at least one elderly client, of more than $6M. The scheme took place over 12 years. After his acts of broker fraud were uncovered, Carter took money from other investors to pay back his other victims.

Morgan Stanley fired Carter last year. He also is now facing parallel Securities and Exchange Commission (SEC) civil charges.

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据称，第一西方资本管理将超过6.66亿美元的客户资金投入给合格机构买家的投资

Published on:2020年7月22日 | 经过Shepherd Smith Edwards＆Kantas，LLP

科罗拉多州投资公司因投资不合格的买家而罚款2亿美元

The US Securities and Exchange Commission (SEC) has ordered First Western Capital Management Co. to pay a $200K fine over allegations that, over a 7-year period, it invested over $666M of clients’ funds into securities that they didn’t qualify for. As a result, 81 clients were placed in securities that were reserved for qualified institutional buyers (QIBs), which are investors that have at least $100M in assets.

The firm is a Denver-based investment adviser. Our Colorado investment fraud lawyers at Shepherd Smith Edwards and Kantas are offering free case consultations to customers that were harmed by these unsuitable investment recommendations and sales that the SEC says were initiated by at least nine of First Western’s investment adviser representatives. Contact us today at（720）439-2827。

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西北共同投资服务Fined $350K for Inadequate Supervision of Ex-Broker Sampson Pearson

Published on:2020年7月16日 | 经过Shepherd Smith Edwards＆Kantas，LLP

Former Financial Representative Is Facing Criminal Trial for Annuity Fraud

金融行业监管局（FINRA）已罚款西北共同投资服务$ 350Kfailing to properly supervise前股票经纪人桑普森·皮尔森（Sampson Pearson）使他能够欺骗57万美元的客户。西北共同投资服务是西北共同生命保险公司的经纪部门。

皮尔森（Pearson）在2017年受到自我调节组织（SRO）的禁止，在联邦法院被指控犯有严重的身份盗用，邮件欺诈和提交虚假纳税申报表。根据他的说法BrokerCheck记录，，，，he is named in 13 disclosures, including 11 customer disputes.

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Sagepoint Financial命令为早期单位投资信托汇票支付超过160万美元的费用，这使投资者付出了代价

Published on:June 22, 2020 | 经过Shepherd Smith Edwards＆Kantas，LLP

FINRA说Sagepoint Financial Brokers不合适地推荐了早期UIT翻车

The Financial Industry Regulatory Authority (FINRA) is ordering SagePoint Financial to pay over $1.6M in fines and restitution after it executed over $895 million in unit investment trust (UIT) transactions that resulted in more than $17.2 million in sales charges.

Of these UIT transactions, over $203.7 million of the proceeds were from sales that occurred over 100 days before a UIT’s maturity date. FINRA found that these unsuitable early rollovers caused customers to pay over $1.3 million in sales charges that they wouldn’t have otherwise if only they’d held onto their UITs until they matured.

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Retiree Sues Kovack Securities and Its Broker Susan Penney Over Investment Losses

Published on:June 8, 2020 | 经过Shepherd Smith Edwards＆Kantas，LLP

老年投资者声称不合适的投资建议造成房地产投资信托基金损失

俄克拉荷马州的一名退休人员在与科瓦克证券经纪人苏珊·彭尼（Susan Penney）合作时遭受的投资损失损失高达50万美元。bob200体育

The claimant contends that Penney and the broker-dealer misled her and made unsuitable recommendations when they persuaded her to invest a huge portion of her portfolio in non-public Real Estate Investment Trusts (REITs) and other risky investments that an inexperienced investor like her should never have been involved in.

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投资者指责洞察证券经纪人卡洛斯·莱斯皮（Carlobob200体育s Legaspy）进行股票经纪人欺诈和疏忽

Published on:May 28, 2020 | 经过Shepherd Smith Edwards＆Kantas，LLP

Illinois-Based Stockbroker Faces Four Pending Customer Disputes

长期经纪人和Insight Securities的所有者Carlos Legaspy是四个未决的客户纠纷的主题。bob200体育所有争端都指责他欺诈和/或疏忽，其中包括一项要求赔偿高达600万美元的索赔。

如果您是Legaspy或Insight Securities的客户，并且您遭受了重大损失，请与Shepherbob200体育d Smith Edwards和Kantas和Kantas（SSEK律师事务所）联系我们的股票经纪人欺诈律师，以便我们立即帮助您探索您的法律选择。我们与整个美国的投资者合作。

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Shepherd Smith Edwards和Kantas继续调查Covid-19之前的投资者损失，涉及Robinhood Pranistion-19

Published on:April 6, 2020 | 经过Shepherd Smith Edwards＆Kantas，LLP

罗宾财务Apologizes To Investors For Outages

If you are an investor who recently sustained losses through Robinhood Financial’s investing platform,contact our investment fraud attorneysat Shepherd Smith Edwards and Kantas (SSEK Law Firm) today.

Robinhood Financial提供了一个在线平台，该平台可促进股票，交易所交易的资金（ETF）和其他投资交易，而无需收取佣金，他最近经历了技术SNAFU，这导致了大规模停机并阻止了3月2日和3月3日的交易。

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经纪人欺诈and Investment Losses During The Time of The Coronavirus

Published on:March 20, 2020 | 经过Shepherd Smith Edwards＆Kantas，LLP

最近市场危机期间的投资损失可能是可回收的

Investors throughout the United States are grappling with financial investment losses as markets continue to remain volatile in the wake of Coronavirus (coVID-19）。最近oil price drops，随着企业被迫关闭和解雇员工，失业率的兴起，而流动的经济并没有为缓解日益严重的担忧做出任何措施。

Shepherd Smith Edwards和Kantas（SSEK律师事务所）已经与许多这些投资者进行了交谈，以了解我们如何提供帮助。

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