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FINRA Warns Financial Services Firms to Conduct Background Investigations of Their Prospective Personnel
FINRA has issued Notice to Members 07-55, which alerts member firms to ensure that they are conducting background investigations of prospective personnel.
The purpose of the investigation is to determine whether the individual would be subject to a statutory disqualification and whether the individual would present a regulatory risk for the firm and its customers.
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Free Opinion
Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
All content Copyright © 2008 Advocate Capital Management, Inc. except where noted. All rights reserved.
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