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.
Todd is a miracle worker who will work tirelessly for you and your family. He is one of the few attorneys i've met - who I earnestly trust to protect me, and who I am happy to refer to our friends and fellow family members. The Spodek Law Group is someone you want on your side, because they will treat you just like family. Todd and his team are available 24/7, and they always answered our calls. Even when we were being irrational, and crazy - they were calm and super helpful. Just call Todd. He gives you a free consultation and is very understanding.- Donna & Robert
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