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Lex Wilson
Created on April 17, 2023
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Unethical Financial Practices
Lex Wilson
Created on April 17, 2023
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Transcript
What Do Unethical Financial Practices Look Like?
Not accurately disclosing the magnitude of risk of a security to a client.
Aggressively pressuring clients into buying or selling securities that are not in their best interest
Entering an arrangement to attempt to manipulate the market or market prices
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Distorting or attempting to mislead the appearance of public trading in a security.
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Deceiving behavior to distort transaction prices or the value of any security.
How to Prevent Unethical Practices
File a Complaint with the Securities Division
Document Suspicious Behavior
Verify Licensinsure