will do, thanks!
Well i got a call back from someone I know that works at a top 10 firm, and they called their head of Recruiting/HR department who affirmativley...
thats what i thought when i originally got it expunged... and if i were to apply at any non regulated industry, i would be fine.... but...
If i could find one that is specialized in this area.... I just called a local NASD office, and the guy said because it was reduced to a...
That is true, its expunged, no longer exists... that works if I were to apply at any other job... but Government agencies, and I'm assuming the...
I found this at the NYSE website: http://www.nyse.com/pdfs/01-234.pdf if you read teh footnote on the very last page, it says that if this...
For sure the NYSE wouldnt allow me to trade with them? even with an expungement? Are you saying I'm doomed?
I guess no one really has a clear cut answer, i was hoping i could find someone that went through the wringer.... It may be damn near...
Does the 1934 Act of the SEC have anything to do with me becoming a registered rep of the NASD? It says in that act that any felony within 10...
I'm looking to start a career as a financial planner/advisor/broker whatever... and I already have my CA Insurance license. Back in 2001 I was...
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