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In the Media
Muck Rack (investmentnews.com) (March 16, 2014 10:20 am) — Heightened scrutiny of Finra's expungement process is making it harder for brokers to clear their names, according to a survey of…
Why even a flawed background check is better than nothing MarketWatch.com (March 16, 2014 6:58 am) -- Many victims of financial fraud could avoid trouble by doing a simple background check before…
St. Louis Post-Dispatch (March 14, 2014 3:30 pm) -- You can hear it often from personal finance advice-mongers, such as me: Before you sign up with a stockbroker, check his record on BrokerCheck…
Boston Bar Association (March 14, 2014) -- Expungement is the process by which a registered representative gets his slate wiped clean of a customer complaint. Controversy over the expungement…
Daily Finance (March 13, 2014 10:00 am) - When you hire a financial professional, it's natural that you'd want to know that the person you're entrusting with your hard-earned money is solid and…
Forbes (March 13, 2014 9:30 am) -- You’d think investors are well protected from the financial shenanigans, incompetency and outright money grabs of the stray—and straying—investment representative.…
Insurance Barrack (August 12, 2014) -- FINRA runs the greatest adjudication newsgroup in the United States for the resolve of debates amid clients and associate businesses, as well like amid concern…
marketoracle.co.uk (March 11, 2014 2:32 pm) -- I’ve written about the dangers of relying on stockbrokers before. In fact, back in October, I warned you: “Don’t Let Your Broker Make You Broke (Do This…
MainStreet.com (NEW YORK) (March 10, 2014 9:13 am) — Investors are always urged to perform due diligence when hiring a financial advisor, and one platform often recommended is the Financial Industry…
LifeHealthPro.com (March 8, 2014) -- Investors who rely on the BrokerCheck disclosure system maintained by the Financial Industry Regulatory Authority (FINRA) to check out the background of their…