Category Archives: Legal Rep Column

Column: “Surprise! How Did Long-Forgotten, Minor Complaints Abruptly Appear on BrokerCheck?” – As seen on

On January 17, 2014, 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 […]