Ensure Funds Are Invested as Requested
Ensure Funds Are Invested as Requested08.11.2014
Registered Representatives can help themselves avoid loss
and reduce exposures using a few simple tips. Try using the below loss
prevention tip to improve your risk management strategy:
Claim Scenario: The client instructed the registered representative to buy $20,000 of a certain stock. One month later, the client called the registered representative to sell the stock. At that time, the registered representative realized he never executed the original buy order.