seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
display. Related News SEC News No records to display. Last Updated 30 December 2022 Last Reviewed 30 December 2022
to display. Related News SEC News No records to display. Last Updated 30 December 2022 Last Reviewed 30 December 2022
No records to display. Related News SEC News No records to display. Last Updated 30 December 2022 Last Reviewed 30 December 2022
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begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less