David A. Weintraub, a securities attorney, discusses best practices prior to referring a client to a stockbroker, including considering whether a brokerage firm is genuinely full-service and obtaining the broker's unredacted Central Registration Depository report in order to review complaints, arbitrations, pending regulatory investigations, states that have requested the broker withdraw his or her application, education, and more.
Negligent Referrals to Rogue Stockbrokers
New York Law Journal
November 21, 2012
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