Failure to Execute a Trade

Did Your Broker Fail to Execute a Trade in a Timely Manner?

In non-discretionary accounts, investors are typically required to notify their broker when they want to purchase or sell a particular financial product, including stocks, bonds, mutual funds, exchange traded funds (ETF), annuities, and real estate investment trusts (REITS). When asked to make a particular trade, a broker has a professional duty to make a trade as soon as reasonably possible. If he or she fails to make the trade in a timely manner as requested by the investor, the investor may sustain losses.

If you need help settling a dispute with your stock broker, financial advisor or brokerage firm please contact one of our FINRA attorneys at 855.327.7529.