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Unauthorized Trades and Investments

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A broker is not permitted to make trades or investments without the investor’s authorization of each transaction unless the client has given written formal discretionary authority to the broker. A broker may not decide what to buy or sell or how much without prior instructions from the investor.

In some cases, a broker simply fails to consult the investor before making trades in a nondiscretionary account. The broker may purchase stock without authority or ignore instructions given by the client with respect to a discretionary account. All of these situations qualify as unauthorized trades or investments and can result in claims for fraud, rescission, or breach of contract, depending on the specific situation.

If you think your broker has engaged in unauthorized trades or investments, you may have a broker misconduct claim worth pursuing.

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