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Client verbally alleged FA told him he could sell his shares and receive the dividend, however, the client did not receive the dividend because the sell was prior to the ex-dividend date. (9/25/2018)
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.
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.