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U4 Check for departing brokers

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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?


Jun 2, 2011 3:39 am

Anyone have any thoughts!?