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Our experts frequently write blog posts about the findings of the research we are conducting.

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Displaying 1 out of 1 results for "BrokerCheck".

Extreme (Expungement) Makeover: Is Scrubbing a 30-Year Record Really Legal?

(Feb 2017)

We have written extensively about problems with FINRA's BrokerCheck system. See our blog posts on BrokerCheck.

Others have written about expungement abuses. For example, see Susan Antilla's "The Unbelievable Story of One Broker and Her Firm Fighting to Clean Her Tarnished Record".

Two weeks ago a FINRA panel rendered an extraordinary expungement award, recommending expungement of 8 awards and 3 settlements. The award in Joseph Anthony La Ferla, Jr. vs. UBS Financial Services Inc. can be viewed...

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