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New Customer Complaint Definition?

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Feb 19, 2008 2:24 pm

anonymous

Joined: 2005-09-29Offline

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Is FINRA requiring Compliance Depts. to figure out which customer complaint is the most egregious–and then notify FINRA of that? Think I’m kidding?  Read this:

  http://www.rrbdlaw.com/brokeandbroker/index.php?a=blog&id=29