Tag: investment brokers

Capital and Risk, Trading

When Is a Trade Considered “Unauthorized”?

January 3, 2023

Via: JD Supra

Allegations of unauthorized trading claims present significant risks for investment brokers and brokerage firms. In addition to investor arbitration with the Financial Industry Regulatory Authority (FINRA), brokers and brokerage firms can also face U.S. Securities and Exchange Commission (SEC) investigations […]