What's Up at Firms?Commented on: 6 years ago (January 6, 2010)
The advisor should have bought them auction rate securities!
What's Up at Firms?Commented on: 6 years ago (November 16, 2009)
They say the checks will be mailed out late December. If you want more information, call the claims administration center at 1866-354-8987
Legal and Compliance IssuesCommented on: 7 years ago (September 25, 2009)
I read the Williams case and based on the fact that he altered the sales literature, I believe he should have been barred. It's fraud, plain and simple. I found the sanctions to be to...
What's Up at Firms?Commented on: 7 years ago (September 23, 2009)
Everything they told us were lies!!! They are moving the BAI guys into Merrill offices in my old region. I am very happy I got out. They are the worst.
RIAs, IndependentsCommented on: 7 years ago (September 10, 2009)
It is my understanding that you can not be fired if you file bankrupcy. However, if you are independant than you are a contractor. Your bd may review your case and contract to...