VIDEO | by WSJLive

The Decision to Take on a Regulator

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VIDEO DESCRIPTION:
Brokers facing regulatory action have a difficult choice: Accept a settlement or fight the charges. Wealth Management's Caitlin ...
Nish speaks with attorney Jeff Kern about what brokers should consider when making this decision.
Posted: 11/16/2012 | Views: 421 | Duration: 02:39
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