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: New York Supreme Court Criminal Term LibraryPossible Red Flags Regarding Conduct of Investment Advisers, registered representatives
By David Badertscher, PLL
Source:Lexology, September 11, 2009.
Broker-dealers probe reps? personal affairs
Jorden Burt LLP
"Growing bank accounts, luxury vehicles, exotic vacations, expensive jewelry, and an extravagant lifestyle are several examples of red flags that an investment adviser or registered representative may be living beyond his or her means, particularly when increasing expenses are coupled with declining commissions".
Full post as published by New York Supreme Court Criminal Term Library on September 11, 2009 (boomark / email).
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