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Recent content by Inquirer1

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  1. I

    Criminal Exchanges

    Georgia The employee acts without direction from broker. Does having the consent make a difference being outside of the office admin's position?
  2. I

    Criminal Exchanges

    Is it illegal for an office admin employee of an investment brokerage branch to place stock trades while the branch broker is out of the office? What type of offense would this be known as & is it possible the broker wouldn't be knowledgeable of the activity?

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