未能监督经纪人如何导致投资损失

您的经纪公司的疏忽是否导致您的投资损失

未能监督是何时股票经纪人不当行为或行动导致投资和股票损失的法律条款。FINRA，，，，要么the "Financial Industry Regulatory Authority," is the regulatory body that oversees all brokerage firms. A cornerstone of FINRA regulation is the mandate that firms must develop supervisory procedures to ensure consumer protection.

分支机构经理和合规人员必须审查许多通常是计算机生成的报告，以确定和确定其办公室中的任何违规行为。此过程已适用，以保护客户免受财务顾问的侵害。

Examples of Failure to Supervise

在许多情况下，投资者可以提出未能监督对经纪人或其公司的索赔。

One standard check and balance is the exception report which is supposed to "red flag" any troubling occurrences. Though these reports exist, management routinely ignores them. In a particular example of failure to supervise, a broker churned a client's account.

搅动意味着经纪人建议连续买卖证券，这不符合客户的最大利益。bob200体育计算机监督系统得出结论，该帐户的周转率很高。这是一个技术术语，指示经纪人搅动帐户。

尽管很少见，但是当公司未能培训经纪人导致未能监督事件的经纪人时，这种情况可能会发生。尽管合规性有危险信号警报，但他们没有做任何事情来监督经纪人。除了起诉公司以搅动和不合适，客户也有未能监督的理由。

In another matter, the broker recommended the same product to almost all his clients. Compliance personnel can run reports assessing the type of products/securities a financial advisor recommends for all his clients. Generally, an advisor will have different clients with different needs and risk tolerances.

因此，应将顾问的“商业书”变化，对于自然属于各种类别的客户来说，投资组合不同。在这里，顾问几乎拥有同一产品的所有客户，无论年龄，客观和风险承受能力如何。这种模式应该是合规部门的危险信号。

However, they neglected and did nothing about it, a perfect example of a case of a failure to supervise. The product in question resembled a庞氏骗局，所有客户都遭受了相当大的投资和债券损失。

FINRARegulations for Client Account Supervision - RULE 3110

FINRAhas many rules regarding the supervision of client accounts and financial advisors. These rules are set in place to avoid cases of failure to supervise. A prime example is规则3110。这要求FINRA成员建立并维护一个系统，以确保对所有财务顾问/经纪人活动的适当监督。

Moreover, the established system must ensure that advisors/brokers follow all financially related laws, securities regulations, and FINRA rules.

3110的中央宗旨规定金融实体已书面监督程序（“ WSP”）。这些程序必须包括有关主管监督的规则，以确保监督者受到监督。

规则3110also mandates the creation of a pyramided structure to secure these ends. That way, there would be supervisors supervised by someone who is also then supervised. The financial entity should write out and list all supervisory responsibilities in the hierarchy. The firm should structure and detail how to carry out the supervision properly.

The WSPs should provide procedures involving systems tests to ensure compliance and appoint principals to carry out the tasks. The WSPs must also appoint a Chief Compliance Officer ("CCO").

3110的另一个重要宗旨是年度流程，该过程证明了公司遵守其WSP的遵守情况。该认证必须以书面形式进行，并要求公司的首席执行官进行实际认证。首席执行官申明，已制定政策和程序，以确保公司遵守适用的法规和法律。

The next step would be a formal report to the board of directors and relevant committees. Furthermore, the CEO must verify that they held a formal meeting with the CCO and discussed compliance and supervisory procedures. There must be an in-person meeting, not just memos.

FINRA规则2090、2111、2210和3270

关于监督的另一组重要的FINRA规则是规则2090（了解您的客户规则）和2111(the Suitability Rule). To paraphrase 2090, all financial advisors/brokers must be diligent when opening and maintaining client accounts. They must also know and understand the essential facts of every client.

规则2090与2111的联系，该规则要求顾问/经纪人必须有合理的建议。他们必须证明建议是合适的交易或策略。这不仅包括购买或出售的建议，还包括保证或维护策略。

涉及监督的另一个重要的FINRA规则是2210，它涉及财务顾问/经纪人的公共沟通。在电子世界中，主管对顾问传播的勤奋至关重要。公司必须批准所有通信，以确保财务顾问/经纪人不会做出虚假陈述。

鉴于传输的手段可能是电子邮件，文本，Twitter和Facebook消息，因此主管必须非常勤奋。他们必须注意经纪人的沟通，以确保没有未能监督的情况。

最后，规则3270deals with any Outside Business Activities by the advisor/broker. In summation, this rule requires disclosure of all business activities of the advisor/broker unrelated to their employment. This rule is so important because, in the past, some unscrupulous financial professionals have set up side schemes.

They get unsuspecting customers to invest by claiming it is a private placement created or endorsed by the firm. This activity is referred to as "selling away," and all financial firms forbid it.

在这种情况下，经纪人很可能不会遵守其公司的法规，从而导致投资损失。这种不受管制的活动可能导致客户起诉并提出未能监督对经纪人的索赔。

Contact Our Team of Investment Loss Lawyers

我们的股票损失律师和投资损失律师团队拥有30多年的经验处理未能监督案件的经验。如果您因股票经纪人不当行为或经纪人欺诈而遭受了投资损失，则可能有没有监督索赔的理由。

Fortunately, our firm has the necessary resources and experience to prove a failure to supervise a claim. We are well versed in the complex process required to pursue such cases to get your desired results. Call us at（866）931-7628要么在线与我们联系今天与经纪人不当行为律师或股票损失律师预约。