A broker can be liable for a failure to execute if he/she fails to place a trade ordered by the customer. Sometimes this is referred to as a dropped ticket where the broker negligently fails to execute a trade. A registered representative’s negligence in failing to timely process a purchase or sale of securities should not result in a substantial loss to an investor.
If a registered representative failed to timely follow your instructions which resulted in substantial losses immediately contact the attorneys at Mathews Giberson LLP to learn more about your rights.