Legal and Compiance Issues

A place to discuss the securities industry's legal landscape.
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Expungement of Client Complaint
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U5 Termination
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Does Raymond James do anything more then background check?
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OSJ wants $$ to release me...
2
2016-02-10 13:45
Nothing
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u5/ Brokercheck Question
by LBJ6
23
by ted2
2016-01-05 18:32
Blank
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Expunged Felony DUI over 10 Years Old
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Leaving RIA, starting my own - Non solicit?
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U-4 form #14 question
by Ls54
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U5 Shows Termination but nothing on Broker Check
1
2015-07-08 15:30
Offering Promissory Notes
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Form U4 question 14
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U-5
1
2015-04-04 11:52
FINRA Rule 3110(e).... Late disclosures
by J.C.
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FINRA Rule 3110(e).... Late disclosures
by J.C.
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Cyber Security - Who needs help?
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Help wanted
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Limited Power of Attorney
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New Rule 3110
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Accredited trust status after death of primary
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Need advice re: U4 issue
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First complaint isn't a complaint
5
2014-01-16 01:23
Statute of Limitations
by NCV
1
2014-01-02 12:55
Florida U5 reveiw takes forever This topic has been moved to U5 termination Florida
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