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Sharing in a Client's Profits/Losses

Dashboard > Violations > Sharing in a Client's Profits/Losses

Sharing in a Client's Profits/Losses

Bubbie was typically a pretty trusting person, but she was a bit concerned about loaning AmericanEagleGold $100,000 at 2.75% interest just so they could dive into some hot IPO over at Smarmy & Sons Broker-dealers. With Bubbie on the ropes, Myron decided to sweeten the deal.

"Mrs. Bubbstein," he said. "I've got a good feeling about this thing. In fact, I don't think we can go wrong here. I feel so good about this, that I'm willing to go all in with you. My firm will match you dollar for...

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