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Refusing or Ignoring a Customer's Legitimate Instructions

Dashboard > Violations > Refusing or Ignoring a Customer's Legitimate Instructions

Refusing or Ignoring a Customer's Legitimate Instructions

Look, can we just say it? Myron's a bad dude.

By following Bertie's instructions, he was Refusing or Ignoring a Customer's Legitimate Instructions, because we know that Bertie was not the actual customer here. His instructions weren't legitimate because he's not authorized to trade in Bubbie's account. "Legitimate" also means "within reason." That is the context used by the Series 63 exam—and seldom used by Myron.

If Bubbie were to instruct Myron to "invest all of my money in muni bonds, b...

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