Legal and Compliance IssuesCommented on: 6 years ago (March 16, 2010)
To clarify, the customer complaint was filed in a timely fashion with my firm and the firm's compliance department. The firm's legal counsel assisted me throughout the investigation and...
What's Up at Firms?Commented on: 7 years ago (March 23, 2009)
Well, we have been sold to Stifel Nicholas. This explains why they stopped talking to us individually 3 months ago. Back then they offered us a reasonable deal, but now they have us...
What's Up at Firms?Commented on: 7 years ago (January 9, 2009)
Thanks for the info. I will try PM again.
What's Up at Firms?Commented on: 7 years ago (November 22, 2008)
Talked to SF last week. They are sure a lot more interested than RJ. SF is ready to take our group right now and make the transition ASAP! RJ has an interest, but seem...
Legal and Compliance IssuesCommented on: 8 years ago (May 12, 2008)
Not in every case. Client said they wanted me just to take care of the account within the investment policy of the municipality. It is a no=profit. No tax consequence.