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Articles Posted in Supervisory Failures

What Does it Mean for Investors? LPL Financial Settlement $26 Million
Samuels Yoelin Kantor LLP

Today the North American Securities Administrators Association (NASAA) announced a massive LPL Financial settlement with state securities regulators relating to over a decade of sales of unregistered securities by LPL brokers. Under the terms of the LPL Financial settlement, the firm agreed to repurchase from investors certain securities that were sold to them since October,…

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Down Markets – A Good Time to Look For Red Flags and Recoverable Investment Losses
Samuels Yoelin Kantor LLP

The news has been full of stories of investment losses. First, it was cryptocurrencies and related investments on a roller coaster ride of valuation. Then, in the last week, the major stock market indices followed… Dow Jones, S&P 500, Nasdaq… What is a Main Street investor to do? As a securities attorney representing investors in…

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Ten Red Flags for Investors
Samuels Yoelin Kantor LLP

Ten Red Flags of Investment Fraud We’ve updated our list of ten red flags that  investors should be aware of: danger signs that point to potential mismanagement of an account or investment fraud by a financial advisor. These red flags are useful as you evaluate your own investments, review the investments of an elderly relative,…

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LPL Financial – More Supervisory Failures in Sales of ETFs, Annuities, REITs
Samuels Yoelin Kantor LLP

FINRA announced yesterday that as part of a settlement reached with brokerage firm LPL Financial LLC, it is fining LPL $10 million for broad supervisory failures over multiple years and ordered almost $1.7 million in restitution to certain LPL customers. The sanctions are for LPL’s supervisory failures including failure to adequately supervise LPL broker sales…

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