In hindsight, this is perhaps the most obvious form of abuse among Registered Representatives, although not always apparent while it is occurring. When Representatives buy and sell investments on behalf of a client in a brokerage account, typically they receive a commission for executing these transactions. If the amount of the transactions are unreasonable or unsuitable for that particular investor's account, the presumption arises that the Representative made these trades in order to generate a commission, not for the investor's best interest. This self-dealing may or may not be obvious while it is occurring, but looking at the commissions charged over a 6-12 month period of time can reveal evidence of its occurrence.

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