Articles Tagged with Unauthorized Trading Attorneys

I’m An Investor Whose Broker Engaged in Unauthorized Trading. What Should I Do? 

Our  Trusted Securities Lawyers Are Investigating Claims of Losses Involving Aegis Stockbroker Joseph LaScala 

Unauthorized trading is what happens when your financial advisor buys or sells assets in your brokerage account without your prior knowledge and/or permission. This type of broker misconduct is prohibited by the Financial Industry Regulatory Authority (FINRA) and brokerage firms have a duty to have the proper procedures, systems, and rules in place to prevent this from happening.