Lying about accounts and finances. Giving unreasonable expectations on investments.
You can invest on your own, but when you are paying someone (either through retainer or commission) they have a legal code they have to stick to. They have to fully disclose all of the information about accounts and such that they suggest you invest in as well as if they have stock in those accounts as well.
You also can't pressure clients into staying in the market. When he went to lunch the first day, his boss told him that the goal was to keep the client's money in play for as long as they can to make more money off of it, and eff it if the client lost all of their money.
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