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Summary: Brokers who change phone numbers and email addresses in an attempt to retain clients before leaving their firms is a regular problem that has sparked recent disciplinary action, according to the Financial Industry Regulatory Authority Inc.
 "In today's age of technology, really anything you do leaves a forensic footprint. I cannot believe there are still unsophisticated transitioning brokers who believe they will get away with this."Sharron Ash, chief litigation counsel, Hamburger Law Firm |
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