Failure To Supervise

A claim for Failure to Supervise may apply when a stockbroker's or investment advisor's employer fails in their responsibility to provide oversight and supervision. Quality control and oversight - the monitoring of the trades, recommendations and other actions taken by the financial advisor on behalf of the client - is mandatory in the securities industry.

To discuss Failure to Supervise, or any other claim with a securities arbitration attorney, please complete this form or call 800-520-8526.