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Client complained that delay in executing liquidation instruction caused losses because time window closed and trade could not be executed until next window opened. (11/1/2021-4/12/2022)
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.