Is a settlement for a customer dispute
Sep 10, 2008 11:08 pm
that resulted in the return of one half the sales charges and did not go to arbitration a permanent black mark on the U-4? One half the sales charges was in excess of $10,000.
Sep 11, 2008 8:05 pm
What in the heck did you sell to generate that kind of commission?
An equity-indexed annuity?Sep 11, 2008 8:42 pm
Thank you…that was my inclination.
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