DWPC
Dryer sheet wannabe
In looking for a new broker, I've been surprised that several acct execs with major brokerage house whom I "interviewed" have a rap sheet on the FINRA Brokercheck site listing one or more violations. Some are many years back, some are small in value and involve technicalities, but a couple had client claims that involved six-figure settlements, usually for false representation of investment risk. Eye-opening.