The Financial Industry Regulatory Authority (“FINRA”) proposed to increase the fees firms, and stockbrokers pay when seeking to expunge customer complaints from brokers’ regulatory records on BrokerCheck.
- posted: Feb. 10, 2020
FINRA has proposed to the Securities and Exchange Commission to amend its arbitration codes mandating stockbrokers or their firms to pay a minimum of $9,475 in filing and processing fees Read More
How Stockbrokers Protect Accounts When Switching Brokerage Firms
- posted: Feb. 07, 2020
Stockbrokers should memorialize in their employment agreement with the brokerage firm clarifying and defining who the customer belongs to and the scope of solicitation. It is worthy to note financial rules, industry Read More
Does A Recruiting Firm Have The Transitioning Advisor’s Best Interest At Heart?
- posted: Feb. 06, 2020
It is all too common for a broker-dealer to recruit a registered representative (“RR”), who has built a thriving book of business, only to leave the RR “high and dry” Read More
The Importance of New Account Document Information
- posted: Feb. 04, 2020
The Importance of New Account Information in Knowing Securities Customers Read More
