jimbo9266 jimbo9266

02-08-2024
Business

Answered

A broker/dealer pays a customer $20,000 for a representative's mistake. What would happen if the representative is fined $20,000?
a. The representative would be suspended for 90 days.
b. Nothing. The customer did not call for arbitration.
c. Nothing. The customer was satisfied before anything happened.
d. At a minimum, the SRO would open an investigation on the $20,000 error.

Answer :

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