Immaterial Unauthorized Sale

Hey guys,

I made a small mistake and sold <$10 worth of equities during the process of moving my assets over to our approved broker (fairly new hire) without approval.  Already disclosed this mistake to Compliance this morning, but haven't heard anything back yet.  Just wondering what you guys think might happen: Nothing? Slap on the Wrist? Termination?  Just looking for some thoughts or guidance on the subject.

Any insight would help calm my nerves and be much appreciated.

(Please don't call me an idiot, I already understand that and I'm very scared.)

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Comments (2)

Sep 8, 2021 - 9:37pm

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