May 8, 2015 and deadline extension for Q1/2015 financial statements, due on May 15, 2015, reasoning that the company is in the process of gathering related documents and evidence for auditor
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share