SI
SI
discoversearch

We've detected that you're using an ad content blocking browser plug-in or feature. Ads provide a critical source of revenue to the continued operation of Silicon Investor.  We ask that you disable ad blocking while on Silicon Investor in the best interests of our community.  If you are not using an ad blocker but are still receiving this message, make sure your browser's tracking protection is set to the 'standard' level.
Non-Tech : What do you do over a conflict of interest with broker
 Public ReplyPrvt ReplyMark as Last ReadFilePrevious 10PreviousNext  
To: Lawrence T. Bovat who wrote ()7/6/1998 11:09:00 AM
From: Chloe R   of 3
 
Lawrence,

Time has not run out on you. I wouldn't call the office manager. Call and ask directly for the Compliance Department or compliance person and explain the situation. They basically fulfill an internal relations role and will investigate their brokers. In this way you know that your complaint falls on the right ears and is not brushed off. If they do give you grief, call the main compliance department at headquarters.

Best of luck,

Clo
Report TOU ViolationShare This Post
 Public ReplyPrvt ReplyMark as Last ReadFilePrevious 10PreviousNext  

HomeMailHotSubjectMarksPeopleMarksKeepersSettings
Terms Of UseContact UsCopyright/IP PolicyPrivacy PolicyAbout UsFAQAdvertise on SI
© 2025 Knight Sac Media.  Data provided by Twelve Data, Alpha Vantage, and CityFALCON News