To view this content, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
Reg BI violations costs expelled B-D
Reps recommended and executed over 2,000 trades in these customers’ accounts without regard for the high transaction costs This high volume of recommended transactions and their attendant commissions and fees made it virtually impossible for customers to achieve a profit
