U5
Mar 28, 2007 10:07 am
Well my firm confirmed a voluntary resignation on my U5 but said I was under internal review for unapproved communications and contacts with clients. Now what? How bad does this look in the biz.
Mar 28, 2007 12:14 pm
What did you do wrong?
Source URL:https://www.wealthmanagement.com/forums/legal-issues/u5