Category Archives: Legal Rep Column

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

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 […]