The Motley Fool Discussion Boards

Previous Page

Investing/Strategies / Retirement Investing

URL:  http://boards.fool.com/caat-if-what-you-say-is-correct-that-rep-should-15041782.aspx

Subject:  Re: 401K Reps Date:  5/25/2001  6:47 AM
Author:  TMFPixy Number:  29908 of 76392

Caat,

If what you say is correct, that rep should be reported to both his firm and to the SEC for disciplinary action and possible revocation of his license. He certainly cannot "guarantee" any type of return, and he can't recommend a specific allocation without doing due diligence on the person involved. These are inexcusable infractions on his part, and he needs to be pulled up by his short hairs fast before he does irreparable harm to someone.

Regards..Pixy
Copyright 1996-2014 trademark and the "Fool" logo is a trademark of The Motley Fool, Inc. Contact Us