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Home > Securities > Failure to Supervise
Failure to Supervise Securities Attorneys
in Dallas, Texas
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.
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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 Dallas, Texas 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.
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