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Explain his violations of the sec and cfp regulations

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Reference no: EM133239394

Question

Doug, a financial planner, provided all of his clients with the same products. He had thoroughly researched the products years ago and found them to be excellent. By concentrating his recommendations with a few firms, he was able to receive commission bonuses. He never discussed their goals and characteristics with his clients unless they brought them up. Explain his violations of the SEC and CFP regulations. What do you think should be done?

Reference no: EM133239394

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