Charging Commissions on a No-Load
Jun 12, 2008 3:44 pm
Read this recent FINRA case in which an RR was found to have violated NASD Conduct Rule 2110 by charging commissions in connection with the sale of no-load funds. His motivation might surprise you – even if the way he went about it wasn’t okay. And, to boot, he was a lawyer.
http://brokeandbroker.com/index.php?a=blog&id=55Jun 12, 2008 5:00 pm
People are stupid.
Source URL:https://www.wealthmanagement.com/forums/legal-issues/charging-commissions-no-load