Are there regulations prohibiting romance between a stockbroker and a client?

Answer 1

No. Only on how that stockbroker handles your transactions and money.

Answer 2

I don't know that there are regulations prohibiting romance. However, I'd say that you should use your head and avoid doing that. There are 2 schools of thought to this one:
1. If you're close enough to someone to share your personal financial information then perhaps there's greater trust and there's an opportunity to enjoy a closer relationship.
2. If you're bangin your broker, then who else are they bangin for "better business" relations? Not to mention all the FALLOUT that can happen from a turbulent romance. You want to talk about "sexual harrassment" charges or disgruntled, bitter, angry people messing with each other's finances??? Or worse, lawsuits when someone gets pissed and liquidates assets inappropriately or maliciously? If you're the broker then you should KNOW Rule #1...C.Y.A. If you're the client then you should STILL know Rule #1... & C.Y.A.

You're walking through a minefield blindfolded and drunk, amigo. Good luck.

That said... I'm a fool for love and I think there is an incredible opportunity when you find someone you can trust. There's always the chance to meet someone and fall in love so if you feel like you're willing to throw your career away for a woman...or vice versa... Go for it.