BrokeAndBroker: Egregious Complaints?
Feb 19, 2008 2:22 pm
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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:
Source URL:https://www.wealthmanagement.com/forums/legal-issues/brokeandbroker-egregious-complaints