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Wealth Professional | 16 Apr 2015, 08:32 AM Agree 0
An unusual case where an advisor allegedly altered important client documents begs the question “why?”
  • Ken MacCoy, CHS | 16 Apr 2015, 11:05 AM Agree 0
    OK. Will: let me get this straight.

    The alleged infractions were uncovered during a routine audit at the branch in 2013.

    And Devlin is quoted as saying: “The MFDA currently places a priority on the issuance of disciplinary proceedings... aimed at eliminating the practice.”

    BUT, the SRO will not be holding the initial teleconference until May 7 set a hearing date.

    Good to see disciplinary proceedings are a PRIORITY ... now!
  • Will Ashworth | 16 Apr 2015, 11:27 AM Agree 0
    Ken, it's good to see you're reading my articles so thoroughly. I do appreciate the observations... and you're not wrong.
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