Item: Shepherd Smith Edwards & Kantas, LLP
Rating: 5
Author: M.B.

What Is Unauthorized Trading?

Video Summary: Unauthorized Trading, Broker Fraud and Investment Loss

Video Transcript:

Unless a financial advisor or stockbroker has discretionary authority to handle your account he or she is not allowed to make any transactions in your account without your commission. First, if the financial advisor or broker does buy or sell securities or products, within your account, without your permission, that is unauthorized trading.

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