It is not my intention to try a potential Sherman Act Section 2 violation for anticompetitive behavior or an FTC Act Section 5 violation for unfair or deceptive practices violation in the press.
Companies with a high concentration of employees who have been associated with firms that were expelled for sales practice violations must tape phone conversations with current and future customers.
In several arbitration claims filed recently against the brokers and Morgan Stanley -- most investor claims cannot go to court -- a total of 13 customers on the East and West Coasts accuse the two men of a widespread pattern of sales-practice violations.
a) The ability to automatically check for errors, inconsistencies, policy and best-practice violations, and omissions.
But, given the current state of arbitrations, it makes economic sense to go ahead and commit sales practice violations.
Kord you say that declining customer win and recovery rate suggests that there's no penalty or price to pay for sales practice violations.
Currently Blair is reportedly being investigated for sales practice violations and more by the Securities & Exchange Commission, federal prosecutors and a task force of state securities regulators.
Brokers are required to notify the NASD if they have been accused of forgery or theft in the previous 24 months or have received complaints alleging such sales practice violations as fraud, misrepresentation or negligence involving more than $5,000.
Between February 2009 and April 2010, Venable engaged in various sales practice violations related to transactions that he effected in the accounts of 14 Firm customers regarding Direxion, a highly speculative and volatile exchange traded fund.
Among the cases she handled were those involving specialist and floor broker misconduct, insider trading, upstairs trading, sales practice violations, and financial and operational compliance issues.
Two patients were excluded from efficacy analyses: one patient (60 mg) had no postbaseline efficacy data and was lost to follow-up, and one patient (60 mg/120 mg) was removed because of good clinical practice violations.
