Certain actions taken by securities companies represent abuses and violations of the legislations governing Capital Market.
These include:
- Brokerage Company recommends an investment that doesn’t align with your investment goals, risk tolerance, or financial situation
- Brokerage Company deals on your account by selling or buying without your knowledge.
- Brokerage Company executing transactions that do not match your orders.
- Brokerage Company refrains from executing your orders without giving any real reasons or motives causing you financial losses.
- Brokerage Company hides crucial details of an investment, hindering your ability to make informed decisions and potentially leading to financial losses.
- Brokerage Company includes charges for fees or commissions not stated in your contract, even though they have no legal justification to do so.
- Brokerage Company promises guaranteed protection from losses in the market.
- Brokerage Company provides financing options for clients to buy securities outside of margin trading
- Brokerage Company unduly distinguishes one of its clients from the rest of the clients, thereby incurring losses.
- The broker does not pay the utmost care to secure the best possible outcomes for your investments, potentially leading to financial losses.
- Trading on insider information
- Using manipulative schemes to affect stock prices during buying or selling
