Investing can be a complex endeavor, particularly when you’re not sure if your broker is playing by the rules. Imagine having unauthorized trades made in your investment account without your knowledge – a frightening thought, right? This blog post unpacks the concept of unauthorized trading, shedding light on its various types, consequences, and how to […]
Understanding Unauthorized Trading: What You Need to Know Read More »
In today’s complex financial market, unauthorized trading has become a serious concern for investors and regulators alike. Unauthorized trading occurs when a trader carries out trades without proper authorization or violates company policies, resulting in significant financial losses for both the company and its investors. Despite the presence of strict financial industry regulatory authority and
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Robert Silverman (CRD#4582993) is not currently registered as a broker with the Financial Regulatory Authority (FINRA). Mr. Silverman was previously registered with Cetera Financial Specialists LLC (June 2004 to July 2019). In July 2019, Mr. Silverman was discharged by Cetera Financial Specialists LLC after he had admitted to a violation of firm policy wherein he had
Unauthorized Trading – Robert Silverman, Cetera Financial, Investigated Read More »