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Allegations concerning representative's role in obtaining or using incomplete forms bearing client signatures.
Broker Comment
"Foreign clients struggle to properly fill out English account forms, and accordingly deliver incomplete forms at times. No client impact. Not investment related."
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.