“A review of recent disciplinary sanctions by the Financial Industry Regulatory Authority, Wall Street’s watchdog, suggests that some brokers may be either brazen or clueless.
Some went so far as to engage in sneaky transactions without their brokerages knowing. One broker failed to disclose a felony plea to an employer when applying for the job. Another got into trouble for walking out of a licensing exam and trying to cheat by peeking at a study guide he had stashed in his car.”
- from Fines Fail to Stop Some Broker Bloopers.
These are the geniuses of finance.
Notes
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