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CLAIMS AGAINST SECURITIES BROKERS AND INVESTMENT ADVISERS  |
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Account Transfer Problems When a customer switches brokerage firms his accounts must be transferred. Sometimes this is not done quickly and the investor is unable to trade. As a result the investor may be unable to sell securities the price of which is falling. This delay or other account transfer problems can be a violation of applicable rules.
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Donald M.
Thompson * 55 W. Monroe #3950; Chicago, IL 60603 |
