How a lawyer can help a registered representative get registered.

Posted by on Jan 22, 2010 in Uncategorized | Comments(0)

This is one of the fun parts of my practice – I got to make a client happy. An old client called me. He had changed firms and the State of Florida had asked him for some additional information regarding an item in his past that was 22 years old. He had gotten registered before, and his U-4 and CRD report were unremarkable, but, for some reason, this item popped in his most recent application.

I spoke to a representative at the State of Florida who explained the situation and why they requested the information. It was a legitimate request and they were simply making sure that all the right disclosures had been made. They had been properly made. The State of Florida approved his registration.
I called the client and told him. He was ecstatic. He’s back in business. Did he need my help? A little. Did my involvement make him feel more comfortable, sure. Was I happy to do it? Absolutely.
That’s the view of this lawyer from Jupiter, Florida. I’m Marc Dobin.
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