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 […]
Tag Archives: Stock Broker Consulting
In response to the SEC’s approval of FINRA’s request to share more information about brokers’ disciplinary records, Patrick Mahoney was featured in the Investment News article entitled: FINRA gets OK to share more info about reps’ disciplinary records. In short, the article highlights the fact that FINRA will now be making available even more detailed information […]
