Series 26: Interfering With Customer Account Transfers

Taken from our Series 26 Online Guide

Interfering With Customer Account Transfers

FINRA prohibits broker-dealers from interfering with a customer’s account transfer request in cases where the customer’s registered representative has changed employment. In other words, they cannot prevent customers from transferring their accounts to another firm because their registered representative has moved to that firm.

FINRA Rule 2140

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