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Unauthorized Transactions

Dashboard > Violations > Unauthorized Transactions

Unauthorized Transactions

No client ever wants to hear the phrase "unauthorized transactions."

Unauthorized transactions are transactions that occur in a client's account that have not been authorized by the client prior to execution. The Financial Industry Regulatory Authority (FINRA from here on out) defines an unauthorized transaction as the "sale or purchase of securities without the investor's prior knowledge and authorization." Read all about the thrilling world of unauthorized transactions here.

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