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Mar 25, 2018

Failure to execute trades Lawyers

Have you been accused of failing to execute trades? Did you fail to follow instructions, and not place an order? Mistakes are made everyday, with millions of trades happenings every day. Mistakes are frequently made, including failure to place order. While technology has reduced this problem, order do get lost, or other issues might prevent them from going live. If you, as a broker or investment firm are being accused of failing to execute trades, then you might be investigated.

You could be investigated by the SEC and FINRA both, for your conduct. If you purposefully, or accidentally, didn’t place an order the client desired – this could be grounds for action by SEC and FINRA. It’s important you realize the failure to place the order can result in damages. For example, if the stockholder asks you to sell the stock and you refuse, or don’t do it, then you will be liable for the damages.

If there are extenuating reasons outside of your control responsible for the failure to execute trade, then we encourage you to speak to our attorneys today.

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New York, NY 10005

Queens

35-37 36th St,
Astoria, NY 11106

Brooklyn

195 Montague St.
14th Floor,
Brooklyn, NY 11201

Manhattan

140 Broadway, 46th Floor
New York, NY 10005

Phone

888-977-6335

Queens

35-37 36th St,
Astoria, NY 11106

Phone

888-977-6335

Brooklyn

195 Montague St.
14th Floor,
Brooklyn, NY 11201

Phone

888-977-6335

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