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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

Despite her deeply trusting way, Bubbie is still looking a tad bit concerned about loaning AmericanEagleGold $100,000 at 2.75% interest so that they can dive into some hot IPO over at Smarmy & Sons Broker-dealers. So Myron decides to sweeten the deal.

One day, he says, “Mrs. Bubbstein, I’ve got a good feeling about this deal. Actually, I don’t think we can go wrong here. In fact, I feel so good about this I’m willing to go all in with you. My firm will match you dollar for dollar. Whatever you...

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