Tony, a dealing representative, runs an investment seminar. At the end of the presentation, one of the
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Question:
Tony, a dealing representative, runs an investment seminar. At the end of the presentation, one of the attendees, Jason Parker, shows Tony his current portfolio that is with a competitor and complains about the return on his current batch of mutual funds.
Tony tells Jason that he would put him into better-performing top-quartile funds, and suggests that Jason transfer his account to Tony's supervision.
Is Tony's conduct ACCEPTABLE? Why or why not?
Related Book For
Income Tax Fundamentals 2013
ISBN: 9781285586618
31st Edition
Authors: Gerald E. Whittenburg, Martha Altus Buller, Steven L Gill
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