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Subject:  Re: 401K Reps Date:  5/25/2001  6:47 AM
Author:  TMFPixy Number:  29908 of 88826


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.

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