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Dashboard > Violations > Commingling


This is an odd-sounding name for the rather odd practice of combining (commingling) client funds and/or assets with the agents’ trading or bank accounts.

Commingling: Mixing up client money and/or assets with the agent bank or trading accounts, often with the intent to deceive. (Not what you did at your eighth grade dance when some of you commingled…yechhhh!).

By commingling funds, the agent is breaching their fiduciary duty to the client and in violation of securities law because it is c...

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