Method and system for the protection of broker and investor relationships, accounts and transactions

A non-transitory computer-readable medium for identifying a situation representing risk to a brokerage or its investors having sets of instructions stored thereon which, when executed by a computer, cause the computer to:

• receive representative of:
• a plurality of transactions relating to securities trading, and
• a plurality of entities involved in securities trading, wherein the plurality of transactions and the plurality of entities are not predetermined to be related;
• identify a behavior of interest comprising one or more sequence detection requirements that is indicative of a risk to the brokerage or its investors by identifying rapid switching of a first mutual fund or a second mutual fund, wherein a solicited transaction is solicited by a securities representative;
• determine whether one or more groups of the transactions and entities collectively satisfy at least one of the one or more of the sequence detection requirements;
• and
• in response to one or more groups of the transactions and entities collectively satisfying at least one of the one or more sequence detection requirements, generate an alert informing a user of the one or more groups of the transactions and entities.

A system for identifying a situation representing risk to a brokerage or its investors, the system comprising:

• a storage medium;
• and
• a processor in communication with the storage medium, wherein the storage medium includes sets of instructions stored thereon which, when executed by the processor, cause the processor to:
• receive representative of:
• a plurality of transactions relating to securities trading, and
• a plurality of entities involved in securities trading, wherein the plurality of transactions and the plurality of entities are not predetermined to be related;
• identify a behavior of interest comprising one or more sequence detection requirements that is indicative of a risk to the brokerage or its investors by identifying rapid switching of a first mutual fund or a second mutual fund, wherein proceeds associated with the switching are at least a percentage of a value of the first mutual fund;
• determine whether one or more groups of the transactions and entities collectively satisfy at least one of the one or more of the sequence detection requirements;
• and
• in response to one or more groups of the transactions and entities collectively satisfying at least one of the one or more sequence detection requirements, generate an alert informing a user of the one or more groups of the transactions and entities.