Thursday, February 19, 2009

Would you have signed off ?

Would your firm have signed off on these transactions? Former A.G. Edwards RR charged with recommending and effecting unsuitable transactions that resulted in high concentrations of Unit Investment Trusts (UITs) and barred from associating with any NYSE member for 10 years. Can you imagine any reason that AGED supervisory personnel signed-off on these transactions? Did they not notice an investment trend among RRs clients? For details, access Compliance Insights with SEC links.

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