What's Up at Firms?Commented on: 6 years ago (October 19, 2009)
Shania Twain wrote:fund will still pay trail and C just keeps it? thats the plan
is that legal
Don't know if it's legal, but someone...
What's Up at Firms?Commented on: 6 years ago (October 10, 2009)
Klaus Von Bulow wrote:I left UBS a while back. I had met and talked to Marten Hoekstra on a few occassions. The man is the most self centered egotistical horse's a$$ as they come....
Legal and Compliance IssuesCommented on: 7 years ago (September 25, 2009)
As a former compliance officer & now an FA, here's what I think:
All of the people you highlighted in your post should be thrown out of the business...
Legal and Compliance IssuesCommented on: 7 years ago (April 19, 2009)
I think setting up a union for reg reps is a good idea. You're right. We've allowed our respective employers to exercise too much unfair, and at times...
What's Up at Firms?Commented on: 7 years ago (April 13, 2009)
Unfortunate Bankruptsy on U4 not good. Try to work it out. Go see a lawyer...maybe they can delay until you get bonus in Sept. Then make a decision.