Interfering With a Customer's Account Transfer

What this video covers

• The exact trigger that activates the account-transfer interference rule (a change in the registered representative's employment, not just any transfer request)
• Who the rule protects (the customer's choice) and who it explicitly does not protect (the departing representative, the old firm, or the new firm)
• Why seeking a judicial order or decree is only one illustrative example of interference, not an exhaustive list of prohibited acts
• The sole recognized exception that permits delay: a genuine lien for monies owed or another bona fide claim against the account
• How fabricated fees or pretextual claims constitute prohibited interference even if dressed up as legitimate exceptions
• The critical distinction between the account-transfer interference rule and the standard FINRA account-transfer rule for administrative exceptions
• Why mismatched paperwork, missing signatures, or account title discrepancies fall under the FINRA rule and are not interference violations