Charging Commissions on a No-Load

1 reply [Last post]
Anonymous's picture
Anonymous

Read this recent FINRA case in which an RR was found to have violated NASD Conduct Rule 2110 by charging commissions in connection with the sale of no-load funds.  His motivation might surprise you -- even if the way he went about it wasn't okay.  And, to boot, he was a lawyer.
 

http://brokeandbroker.com/index.php?a=blog&id=55

Spaceman Spiff's picture
Offline
Joined: 2006-08-08

People are stupid. 
 
 

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