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Posts Tagged ‘FINRA PIABA expungement’

Is That Broker Soliciting You an Ex-Con?

Posted by Larry Doyle on March 7th, 2014 10:06 AM |

Not that we needed any more evidence that Wall Street’s primary self-regulator is a challenged organization when it comes to protecting investors, but in a lead commentary in today’s Wall Street Journal we get it:

The Financial Industry Regulatory Authority “routinely” strips out some possible red flags on brokers from its database in the information it makes available to investors, according to a study released Thursday by an organization of lawyers who represent investors in claims against brokers.  (more…)






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