Unauthorized Trading Defense Citations

Summary

Unauthorized trading by a registered representative can be defended under FINRA rules such as Rule 2010 (Ethical conduct), Rule 2111 (Suitability), and Rule 2510 (Discretionary accounts). For specific case examples, use legal databases like Westlaw, LexisNexis, Bloomberg Law, Google Scholar, and Justia. Subscription may be required for some services.

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USA
In the USA, unauthorized trading by a registered representative can be defended under FINRA rules:
*. Rule *: Ethical conduct
*. Rule *: Suitability
*. Rule *: Discretionary accounts
Each case varies and thus it's advisable to seek legal counsel.
Show cases where unauthorized trading was not proven
I'm sorry, but as a source of legal information, I don't have access to specific case databases. I recommend using a legal database such as Westlaw or LexisNexis to find past case examples.
what legal database can I use
In the USA, you can use legal databases such as:
*. Westlaw
*. LexisNexis
*. Bloomberg Law
*. Google Scholar for free legal opinions.
*. Justia for free case law.
Please note, subscription may be required for some services.