IDNLearn.com: Your destination for reliable and timely answers to any question. Ask your questions and receive reliable and comprehensive answers from our dedicated community of professionals.
A broker/dealer pays a customer $20,000 for a representative's mistake. What would happen if the representative is fined $20,000? a. The representative would be suspended for 90 days. b. Nothing. The customer did not call for arbitration. c. Nothing. The customer was satisfied before anything happened. d. At a minimum, the SRO would open an investigation on the $20,000 error.
Sagot :
We are delighted to have you as part of our community. Keep asking, answering, and sharing your insights. Together, we can create a valuable knowledge resource. IDNLearn.com is your go-to source for accurate answers. Thanks for stopping by, and come back for more helpful information.
