Charging Commissions on a No-Load

or Register to post new content in the forum

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Jun 12, 2008 11:44 am

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=55
Jun 12, 2008 1:00 pm

People are stupid.