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Charging Commissions on a No-Load

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Jun 12, 2008 3:44 pm

Read this recent FINRA case in which an RR was found to have violated NASD Conduct Rule 2110 by charging commissions in connection with the sale of no-load funds.  His motivation might surprise you – even if the way he went about it wasn’t okay.  And, to boot, he was a lawyer.
Jun 12, 2008 5:00 pm

People are stupid.