The Bernstein Law Firm

Dadeland Centre, 10th Floor
9155 South Dadeland Blvd.
Miami, Florida, 33156

Tel 305.670.8877
Toll Free 877.670.8877

Failure to Supervise

Every brokerage firm has a duty to supervise all brokers registered by that firm. Each brokerage firm must have written policies and procedures in place governing the activities of all of its brokers and employees.

Brokerage firms and brokers must comply with Federal and State Securities Laws, as well as NASD and SEC regulations. Brokerage firms that do not adequately supervise the activities of their brokers ("registered representatives") may be liable for losses if wrongful conduct is exhibited.

To help us evaluate whether you have a claim regarding "Failure to Supervise", call The Bernstein Law Firm, at (858) 505-8000, or contact us for a free initial consultation with a Miami attorney.
> Auction Rate Securities
> Variable Annuities
> Misrepresentation & Omissions
> Overconcentration
> Negligence
> Breach of Fiduciary Duty
> Failure to Supervise
> Churning
> Suitability
> Unauthorized Trading
> Failure To Execute
> Derivatives
> Securities Arbitration
> Securities Fraud
The Bernstein Law Firm - Personal Injury and Securities Law
Tel 305.670.8877
Toll Free 877.670.8877
personal injury faq
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