Home >> 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.