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Avoid Overtrading
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or some people, the trading of stocks, options, or other securities can become an addiction similar to gambling. It can be like a nickel or dime stock machine: Win a few jackpots and keep putting the coins back in until they are gone. It s like betting on one more horse to make up for the losses or to extend the winnings. As with other gambling addictions, trading-addicted people are usually not making any money. At best they tend to break even, which only adds to their compulsive activity. The day is just not complete unless they can make one or two stock or option trades.
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Every brokerage firm has a few stories of a stock or option trader who became addicted to trading. The stories usually involve fairly large sums of money after a few years time. Eventually, the trading-addicted investor runs out of money or the brokerage firm s compliance department steps in and puts a halt to the activity. Compliance departments are quite diligent in this regard, although it is difficult for them to watch every account closely. One such story involves an investor who became addicted to trading index options on the Standard & Poor s 100 Index, often referred to as the OEX Index. During a three-year period, this investor traded an average of two to five times each day. He consistently lost an average of $10,000 every year. When the compliance department brought the activity to a halt, the customer s biggest disappointment was not the money lost, but rather, being
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forced to close the account because the $2,000 minimum equity in a margin account could not be maintained. The investor did have a disciplined approach to trading. Sometimes the strategy worked, and other times it failed to produce anything but losses. The system was possibly too inflexible to deal with the daily changes in the stock market, although it was not helped by a compulsive need to make a trade every day. The investor was continually warned (by the brokerage firm s compliance department) about the risk, losses, and speculative nature of his trading strategy. The main failing of the compulsive system seemed to be the missed opportunities caused by closing out the option positions too soon. In several situations the investor had the right idea but did not allow time for the strategy to do its work. If the investor had waited patiently only a couple of days, the positions would have been profitable.
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The securities industry regulatory organizations consider overtrading and churning to be nearly the same activity. Most people think of churning as a stockbroker-initiated activity, but the end result is the same. The activity generates commission charges for the stockbroker and the brokerage firm. Unsuitable trading, where recommendations are not in keeping with the customer s financial condition, investing sophistication, or investment objectives, is a related activity. For overtrading to constitute churning, the broker must exercise control over the trading in the account and abuse the customer s trust by engaging in transactions that are excessive in volume and frequency, considering the character of the account.
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The NASD suitability rule requires that the broker s recommendations be appropriate in light of the customer s financial condition, level of sophistication, investment objectives, and risk tolerance. The suitability rule and the closely related know your customer rule (NYSE Rule 405) require that the broker use due diligence to obtain information about the customer s financial situation, needs, objectives, and understanding. Violation of NASD and stock exchange rules, including the suitability and know-your-customer rules, may be the basis for a cause of action on its own. For example, the violation of the suitability rule and the NASD rules may itself constitute a basis for a breach-of-contract action.
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