Unauthorized Trading- An Introduction
Before trading the clients’ securities, an authorization must be obtained by the securities brokers. If discretionary trading authority or permission to make trading decisions for the portfolio is given by a client, trades may be executed. Unless discretionary trading authority has been given in writing, authorization must be given in advance by the customer. The exception to this is in the case of margin accounts only, when a broker sells the securities without the client’s knowledge.
Articles
- Unauthorized Trading- An Introduction
- Client Approval Required for Securities Transactions
- Types of Internet Investment Frauds
- Securities Theft
- Internet Fraud on the Rise
- About Theft
- Selling Away of Securities
- Issues of Selling Away
- The Unsuitability of Securities
- Securities and Their Unsuitability
- Role of Over Concentration
- All you need to know about Diversification
- Misrepresentation/Omissions – An Introduction
- Margin Trading
- Know about consumer fraud
- Identity Theft- The Leader of Fraud Crimes
- An Insight into Consumer Frauds
- All that you need to know about E-Commerce and Fraud
- Full Disclosure of the Financial Markets
- Unexpected Losses due to Margin
- Failure to Supervise due to Investment Firms
- Supervision
- Issues regarding Failure to Hedge
- Best Ways to Understand Hedging
- All about Edward Jones
- What is churning?
- What are Annuities?
- The Warnings of Securities Exchange regarding Annuities
- The Complications of Variable Annuities
- An Insight into Equity Indexed Annuities
- Durable power of attorney
