Broker Misconduct
Claims by investors against their stockbrokers and other investment advisors fall into four basic categories. The most common claims that we have seen are:
Stock Broker Fraud Blog - Broker Fraud
- Former Stifel Nicolaus and A.G. Edwards Stockbroker Pleads Guilty to Mail Fraud A former stockbroker that used to work for A.G. Edwards and Stifel Nicolaus has pleaded guilty to mail fraud. Neil R. Harrison, could spend up to 27 ....
- Raymond James and RBC Capital Markets Fined $1.4 Million in Total Over Improper Stock Lending Activities The Financial Industry Regulatory Authority says that RBC Capital Markets Corp., Raymond James & Associates, Inc., and an RBCCMC head trader have ....
- To The SEC: Why It Is Necessary to Change Public Reporting Requirements on Stockbrokers Recently, Shepherd Smith Edwards and Kantas LLP Founder and Securities Fraud Attorney William Shepherd wrote a letter to the Securities and Exchange ....