Thursday, February 15, 2007

 

NASD: Comp Not Valid Reason to Convert Rep's Business

A financial services company is not supposed to replace all of the variable annuities held by customers of a rep who comes over from a competitor just because the rep will have trouble getting trailing commissions from the competitor.

NASD: Comp Not Valid Reason to Convert Rep's Business
Source: National Underwriter (subscription required)

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