On January 17, 2014, WealthManagement.com ran Patrick Mahoney’s editorial, Surprise! How Did Forgotten, Minor Complaints Abruptly Appear on BrokerCheck, as part of his periodic column, The Legal Rep. A link to the article is available HERE. In 2010, FINRA amended Rule 8312 to require information concerning minor historic customer complaints be added to BrokerCheck records. Customer complaints that […]
Category Archives: Legal Rep Column
Patrick Mahoney is proud to announce that he will be contributing an opinion based column on WealthManagement.com. You can view Patrick’s most recent submissions HERE.
