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, a firm cannot prevent a customer from transferring her account to another firm because her registered representative has moved to that firm.

FINRA Rule 2140

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