Crd
Jun 17, 2006 12:27 pm
In the April 1st edition of Registered Rep there was an article titled “Mudslinger Stains” by Ms. Palmer about the anonymous mailing of the complaint portion of a registered rep’s CRD to his or her’s existing clients. Any comments?
Jun 17, 2006 4:01 pm
Seems to me that a broker who starts on that course is taking the first step onto a VERY slippery slope.
Jun 17, 2006 9:28 pm
Cheap shot in my opinion. You stay in this business long enough a
complaint is likely to happen.
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