In the Media

FinancialPlanning (December 12, 2017) - Brokers may no longer be able to wipe years’ worth of disciplinary marks off their public BrokerCheck records, thanks to changes proposed by FINRA. The…
Financial Advisor (December 11, 2017) - This week, Finra proposed a rule that would prohibit brokers from removing customer complaints and certain arbitrations that are more than a year old. The…
AdvisorHUB (December 8, 2017) - The Financial Industry Regulatory Authority’s new proposal to amend rules regarding brokers’ ability to expunge customer complaints from regulatory and public records…
InvestmentNews (December 8, 2017) - Regulator also seeks to set one-year limit from time a case closes to request a hearing Arbitrators specifically qualified to determine whether brokers should have…