Articles Posted in In and Out Trading

On January 20, 2021, a Financial Industry Regulatory Authority Hearing Officer barred Bryan G. Mazliach from the securities industry for: Recommending and effecting an unsuitable investment strategy to five customers involving in-and-out, short-term, and excessive trading. Executing unauthorized trades in the accounts of eight customers. Failing to provide documents and…

An in and out trading strategy refers to short-term trading in an investor’s account. In other words, buying in and selling out of securities in a short period of time with no real basis for the stockbroker’s recommendation in either the suitability of the securities or the trading strategy. In…