U4 Check for departing brokers
Jun 1, 2011 5:07 am
Out of curiousity is there any source of information that might either support, or deny whether comments and/or directions made by Branch Manager to have brokers direct clients to check departing broker's U4's due to infractions? Is this illegal, unethical, both, or neither?
Thanks!
Jun 2, 2011 3:39 am
Anyone have any thoughts!?
Source URL:https://www.wealthmanagement.com/forums/legal-issues/u4-check-departing-brokers