In these trying times, many reps feel a financial pinch. For some, the simplest route is to max out their credit cards; others take a second job. However, many will turn to family and friends for a loan. Unfortunately...
Consider this: Two years ago you worked for XYZ broker/dealer's Westchester County, N.Y., branch. After a short stint, you moved to another firm, with an unblemished record. So why is the NASD demanding your presence...
When we were kids, our teachers would attempt to keep us in line by threatening, Behave, or this will go on your permanent record. I used to think there was no such thing then I started defending registered reps. All...
