BrokeAndBroker: Egregious Complaints?

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Feb 19, 2008 9:22 am

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FINRA appears to now be requiring Compliance Depts. to scrutinize customer complaints and figure out which complaint is the most egregious--and then you're supposed to notify FINRA of that.  Think I'm kidding?  Read this:

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