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Jun 17, 2006 12:27 pm

In the April 1st edition of Registered Rep there was an article titled “Mudslinger Stains” by Ms. Palmer about the anonymous mailing of the complaint portion of a registered rep’s CRD to his or her’s existing clients. Any comments?  

Jun 17, 2006 4:01 pm

Seems to me that a broker who starts on that course is taking the first step onto a VERY slippery slope.

Jun 17, 2006 9:28 pm

Cheap shot in my opinion. You stay in this business long enough a

complaint is likely to happen.