© 2014 Shmoop University, Inc. All rights reserved.

Finance Glossary

Just call us Bond. Amortized bond.

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.

back to top