Failure to Supervise

Financial Advisors owe certain duties to their customers, but so do the firms who employ them. These duties are aimed at protecting you the investor . Such duties include,

  • Monitoring a financial advisor’s trading;
  • Investigating and following up on red-flags;
  • Supervising for sales practice violations such as churning, unauthorized trading, and unsuitable recommendations; and
  • Where necessary, contacting a customer to make them aware of unusual activity in their accounts.

If you suspect that your advisor’s firm has not adequately supervised him/her, please contact the attorneys at PCJ Law for a free, informative consultation at 901-820-4433.

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  • Prosser, Clapper & Johnson Law 5865 Ridgeway Center Parkway, Suite 300 Memphis, Tennessee 38120
  • 901-820-4433

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