Unauthorized Trading



If you have a stock broker that you feel has made trades regarding your account without your permission, you may be a victim of unauthorized trading. If you have a non-discretionary account, your broker must contact you and receive your permission before any trades can be made. A knowledgeable and proven California securities fraud lawyer from our firm can assist you in protecting your investments from deceptive practices and in resolving your securities disputes.

In many cases a customer's brokerage account will be a non-discretionary account. This means that in order for your broker to make any trades, they must have your prior consent. If your broker attempts to enter a trade for your account as an unsolicited trade than he is indicating that you requested that order. By contrast, solicited trade would be a trade that is recommended by your broker. If you have signed an agreement that your account will be a discretionary or managed account, than your broker may enter trades without your consent. However in a discretionary account there is a very high level of fiduciary duty that the broker must comply with to protect the client. If your account is a non-discretionary account and you have not given prior permission for trades that have been entered regarding your account, your broker may be guilty of misconduct or fraud.


Determining if your stock broker or investment advisor is involved in fraudulent activity with regard to your brokerage account can be difficult to do. With 35 years of experience representing clients in the field of securities fraud, the legal professionals at The Law Offices of Jonathan W. Evans & Associates can make a profound difference in the outcome of your unauthorized trading case. We are committed to taking the time to get to know you and every detail of your case in order to launch a thorough and successful strategy for resolving your securities challenge.

Contact a California unauthorized trading attorney from our firm today to learn more about how we can help you to resolve your securities dispute.

Contact Us

Fill out the form below or give us a call to get started.
  • Please enter your first name.
  • Please enter your last name.
  • Please enter your phone number.
    This isn't a valid phone number.
  • Please enter your email address.
    This isn't a valid email address.
  • Please make a selection.
  • Please enter a message.