The Financial Industry Regulatory Authority (FINRA) said it wants to make available more public complaints and other information through the BrokerCheck service. More specifically, FINRA is seeking ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations. By Mark Schoeff Jr. Finra will be able ...
The Financial Industry Regulatory Authority released Regulatory Notice 15-50, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 2210 (Communications with ...
A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, reinforcing the regulator's grip over BrokerCheck. If you have ever thought ...
A recent Stanford Law School analysis reveals how easy it is for brokers to leave troubled pasts in the past. In a recent interview with Kiplinger.com, Assistant Professor at Stanford Law Colleen ...
A proposal from the Financial Industry Regulatory Authority (FINRA) designed to make it more difficult for securities brokers to expunge customer disputes from their publicly available records ...
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