Home › Forums › Member Forum › Problem and loss of securities license › Reply To: Problem and loss of securities license
July 19, 2019 at 3:08 pm
#30794
Participant
Did your client report the liens in a timely manner on there U4? If his B/D didn’t have significant procedures in place that also might have been a problem. B/D also might have a problem with Finra.
Finra has become much more aggressive if they think it was willful.