BrokeAndBroker: Egregious Complaints?

No replies
Anonymous's picture
Anonymous

_popupControl();
FINRA appears to now be requiring Compliance Depts. to scrutinize customer complaints and figure out which complaint is the most egregious--and then you're supposed to notify FINRA of that.  Think I'm kidding?  Read this:
 
http://www.rrbdlaw.com/brokeandbroker/index.php?a=blog&id=29
 

Please or Register to post comments.

Industry Newsletters
Investment Category Sponsor Links

 

Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×