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Stricter FINRA rules lead to cliff-drop in advisor requests for expungement
Financial Planning via Yahoo Finance· 1 month agoAdvisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get...
Broker expungement? Costs and difficulty set to rise this fall
Financial Planning via Yahoo Finance· 10 months agoBrokers who are planning to ask for the removal of old customer complaints from their official...
What It Means to Be Regulated by FINRA
Motley Fool via Yahoo Finance· 1 month agoHave you ever wondered who protects investors -- and how? If you invest, it can pay to know about FINRA, the Financial Industry Regulatory Authority....
Finra Panel Awards Former J.P. Morgan Advisor Damages for Defamation. It’s a Sign of a Bigger Issue.
Barrons.com· 2 months agoThe case highlights a trend of advisors seeking damages following negative comments made by...
FINRA vs. SEC: How Do They Differ?
SmartAsset via Yahoo Finance· 7 months agoWhen it comes to regulating the financial system of the United States, two prominent entities often come into the spotlight: FINRA and the SEC. While the...
Investor attorneys to press SEC, Congress on RIA arbitrations
Financial Planning via Yahoo Finance· 10 months agoAfter the regulator's report raised questions about fairness to investors, PIABA is seeking new...
When to Sue Your Financial Advisor for Giving You Bad Investment Advice
GOBankingRates via Yahoo Finance· 1 month agoYou may know someone who has either thought about or actually sued a healthcare professional for...
It may be easier to sue your employer for sexual harassment now, but one huge barrier is preventing...
Fortune via Yahoo Finance· 1 year agoIt's been a year since a #MeToo inspired law made it easier for workers to sue employers for sexual...
What Is BrokerCheck and How Do You Use It?
GoBankingRates via AOL· 2 years agoIf you're thinking about investing your money, you're probably researching the investments themselves -- stocks, bonds, funds, REITs, etc. That's...
Bitwise, Paradigm and Perkins Coie talk regs at TC Sessions: Crypto
TechCrunch· 2 years agoWhether it comes through the Securities and Exchange Commission or the Commodity Futures Trading...
