Deleted: FINRA Erases Many Broker Disciplinary Records

Number 27559
Subject Finance
Source Financial Planning magazine and
Year 2015
Publication Date Dec. 31, 2015
Summary FINRA, the Financial Industry Regulatory Authority, systematically purges the disciplinary histories of numerous of its member advisors, dramatically undercutting the value of its BrokerCheck system that is designed to help would-be investors scrutinize the track records of advisors, a Financial Planning investigation found.
Category IRE Contest Entry
Keywords industry; regulation; discipline; investors
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