Tag Archives: brokerage

FINGERPRINT THEN RECORD FINANCIAL “CONSULTANTS” PRINTS WITH LAW ENFORCEMENT

1 Mar

ALLLLLLL financial advisors, brokers should have their fingerprints on file with Law Enforcement. In that Fingerprinting is part of the U4 process, the sending the fingerprints of people who manage other peoples money will be simple enough AND a step to mitigate theft of investment client monies, getting Investment clients around the block that FINRA has between Investment client crimes and Investment management criminals FINRA does not report to Law Enforcement. Bernie Madoff said “they knew.” How long did “they” know before Law enforcement found out….

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