Regulator would also cross-check broker disclosures against public court documentsInvestmentNews (April 16, 2014 @ 11:10 am) -- Finra is set to propose a rule that would require brokerages to conduct…
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FINRA Board to consider on April 24 an amendment to its supervision rule ThinkAdvisor (April 16, 2014) -- After recent reports claimed that the Financial Industry Regulatory Authority’s BrokerCheck…
ChicagoTribute (Reuters April 16, 2014) -- Wall Street's self-funded regulator said on Wednesday it will consider proposing mandatory background checks for brokers after critics pointed to gaps in…
Analysis finds brokers who fail basic securities exams have more dings on BrokerCheckInvestmentNews (April 15, 2014 8:57 am) -- The more than 51,500 brokers who have failed the Series 63 exam are…
Stockbrokers Who Fail Test Have Checkered Records - The More Times a Qualifying Exam Was Retaken, the Higher the Average Total of Black Marks, by Jean Eaglesham and Rob BarryThe Wall Street Journal (…
If approved, rule would prohibit investor complaints from being contingent on clearing a broker's recordInvestmentNews (April 14, 2014 7:43 pm) -- A rule that Finra sent to the Securities and…
topstockstobuyfor2015.com (MainStreet) (April 7, 2014) -- Investors are always urged to perform due diligence when hiring a financial advisor, and one platform often recommended is the Financial…
onwallstreet.com (April 1, 2014 3:52 pm) -- The fairness of FINRA’s arbitration process is being called into question as lawyers and clients consider legal action to obtain new hearings or revisit…
sacbee.com (March 30, 2014 11:00 pm) -- When New York financier Bernard Madoff was sentenced to life in prison for masterminding one of the biggest investor Ponzi schemes in U.S. history, it was an…
Latest Fiduciary Rule Battle Cry: 'Broker Ads Mislead Investors' bankinvestmentconsultant.com (March 27, 2015 1:46 pm) -- From Allstate Financial's "good hands" to a Merrill Lynch ad about putting "…