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Finance Glossary

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Over 700 finance terms, Shmooped to perfection.

Refusing To Follow Instructions From A Customer


This is a common claim against registered investment professionals, brokers, and fund managers, and it's surprising how often it actually happens. If a client's instructions are legitimate, meaning within the guidelines of the client's investment profile and within the broker's ability to perform, then the broker has an obligation to follow the client's instructions.