January, 2016 | Kaufmann Gildin & Robbins LLP

Brokers are People Too – Expunging Matters From BrokerCheck Report

On behalf of Kaufmann Gildin & Robbins LLP | Jan 6, 2016 | Uncategorized

The Problem FINRA’s television commercials extol the need to check out a broker’s employment history and possible customer complaints and arbitrations on its BrokerCheck Report [See http://brokercheck.finra.org/] What if, on that public Report,...

Brokers are People Too – Expunging Matters From BrokerCheck Report

Questions? Email Us

Categories

Archives

Recent Posts