While, in some instances, the customer-service goal may be commendable, unfortunately, the execution of this scenario often runs afoul of engaging in undisclosed settlements and guaranteeing against losses.

FORBES: FINRA Punishes Customer Loss Reimbursement By Stockbroker

While, in some instances, the customer-service goal may be commendable, unfortunately, the execution of this scenario often runs afoul of as basic a building block, a keystone as it were, of compliance and regulation as exists.

FORBES: Settled Stop Loss Order Is Loss For Stockbroker

While, in some instances, the customer-service goal may be commendable, unfortunately, the execution of this scenario often runs afoul of engaging in a violation of as basic a building block, a keystone as it were, of compliance and regulation as exists.

FORBES: Stockbroker Undone By Email Trail Of Undisclosed Customer Settlement