Hot Topics
$5.35 million award in insurance company bad faith case
– Read the case summary
"Job-bias cases surge in Colorado, feds say"
– The Denver Post
"FedEx Sued For Not Letting Workers Clock In On Time"
"U.S. Supreme Court upholds right to recover compensation from drug companies for injuries"
– "Wyeth v. Levine Opinion"
– "Court allows drug label lawsuit"
– Wyeth Press Release
"Gadolinium law suits picks up pace"
– Missouri Lawyers Weekly
Wal-Mart Class Action Wage Lawsuits
"Attorney Michael Burg Leads the Hunt for Culprits in Economic Meltdown"
Janet Abaray Spearheads Class Action Suit Against Bengals
Explosion Accidents:
"Pooch alive after
Breck blast"
– Denver Post
"Baxter to Proceed with Recall of Remaining Heparin Sodium Vial Products"
– FDA
Yamaha Rhino ATV Rollover Accidents
and Injuries
"UBS Hit by
Another Lawsuit"
– Ben Levinsohn, BusinessWeek
"Hedge Funds
Frozen Shut"
– Matthew Goldstein, BusinessWeek
"MRI Contrast Can Cause Disease – Gadolinium Blamed
For Problems"
– Dayle Cedars
7News, Denver, CO
Results
$5,350,000
Jury awards a Burg Simpson client $5.35 million for Bad Faith Breach of Insurance Contract.
$1,300,000
Jury award to Englewood company to total more than $1 million for breach of fiduciary duties in Shareholder Class Action Case.
$690,000,000
Global settlement with Eli Lilly and Company regarding its product Zyprexa negotiated by a plaintiffs' attorney group including members of Burg Simpson.
$5,800,000
Hines, et al, vs. Cody Gas Company, et al: verdict for injuries, damages, losses from gas explosion.
CLICK HERE FOR MORE INFORMATION
Our Offices
40 Inverness Drive East
Denver, CO 80112
Phone: 303.792.5595
Fax: 303.708.0527
WYOMING OFFICE
Phone: 307.527.7891
Fax: 307.527.7897
OHIO OFFICE
Phone: 513.852.5600
Fax: 513.852.5611
ARIZONA OFFICE
Phone: 602.508.6040
Home > Securities > Failure to Supervise
Failure to Supervise Securities Attorneys
in Denver, Colorado and Nationwide
The rationale for holding a brokerage firm responsible for the misconduct of its registered representative is self-evident. A brokerage firm directly receives financial gain from the activities of its brokers. The duty for a brokerage firm to monitor and supervise the activities of its registered representatives is two-fold: first, adequate procedures must be in place; second, the procedures must be used.
Click to view our video about "Securities"
Brokerage firms are legally required to implement adequate compliance and supervisory policies and procedures that are reasonably designed to achieve compliance with applicable securities regulations. In addition to having appropriate systems in place, a brokerage firm must follow those systems and monitor the activities of its employees.
If you believe that your stockbroker may have failed to supervise your investment account or that you may have been a victim of any type of securities fraud, you have certain rights which you should be aware of, rights which may provide you an opportunity to recover your losses from your stockbroker or brokerage firm.
At Burg Simpson Eldredge Hersh & Jardine, P.C., we can help. Our stock fraud lawyers represent victims of stock fraud. We'll evaluate your claim for free and won't charge you any attorney fees unless and until we win or settle your claim. Please call or email us today.
Return to the Securities Section
