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Code · Kentucky · Kentucky Revised Statutes

434.330 Broker not to pledge or dispose of customer's securities without customer's

53 words·~1 min read·/ky/434-330

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consent. Any broker who has in his possession any money, stocks, bonds, securities, or other things of value belonging to a customer, without having any lien on them or any special property in them, and pledges them or disposes of them without the customer's consent, shall be guilty of a Class D felony.
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