I'm a registered rep in a one-man office. In the space I'm leasing there's also a CPA, a business consultant, an insurance agent, and a registered investment advisor. The space is like an executive office suite, and we each have our own private offices around a central square of cubicles occupied by secretaries for the CPA. Until recently, the RIA was also a registered rep of my broker-dealer, and we referred clients to each other. My firm is now saying that I can't refer clients to him due to privacy concerns. I think they're just doing this because he resigned as a registered rep to start his own RIA. What do you think?
S. D., Oklahoma
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