Failure to Supervise

When an investment firm fails to supervise a stockbroker, it may create liability. Brokerage firms, investment advisors, and stock brokers all have a responsibility to follow an array of United States Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (FINRA) and state laws and/or rules. You may have made unsuccessful investments and now realize that you need an attorney experienced in investment law and regulations related to the securities industry. You may have a case involving failure to supervise by your securities advisers if you suspect:

  • A stock broker did not adequately advise an investor of risks
  • An adviser was not adequately trained and invested investor assets inappropriately or without authority
  • The brokerage firm did not adequately supervise communications to investors about securities
  • The brokerage firm was unaware of a broker’s irresponsible or vicarious investments
  • Your broker engaged in selling away from the brokerage firm.
  • A broker engaged in churning to create unnecessary fees

Financial institutions in Arizona-and throughout the United States-have an obligation to supervise their advisers and brokers. Many investment firms and brokerage houses have hundreds and maybe even thousands of employees.  In such cases, they must be diligent in their supervision. You may need an Arizona securities attorney to get the justice you deserve if you suspect failure to supervise has occurred.  Contact our law firm.

Accused of failure to supervise? Need a law firm focused on stocks and securities in Arizona?

We also represent clients who are charged with improperly supervising their financial advisors, and we have attorneys who have long defended brokerage firms, registered representatives and investment advisors. If you have been accused of stockbroker fraud, insider trading, recommending unsuitable investments or failure to supervise-we have the experience to guide you through the complexities of Arizona and federal financial regulations and law.


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Contact a Skilled Phoenix Securities Litigation and Arbitration Attorney

For more information or to schedule a consultation, call 602-812-7979 or contact our Arizona law firm online.

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2901 N. Central Ave, #1150

Phoenix, AZ 85012

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