BrokerHunter News Roundup: FINRA Tightens Noose on Broker Expungement Process

Published: December 13 2017


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Finra Tightens Noose on Broker Expungement Process

New proposal to limit brokers’ ability to remove complaints from publicly available records likely to sail through SEC, lawyers representing brokers and customers say.

Merrill Tweaks Pay Policy So Brokers Can Collect on Family IRAs

Reversing policy, Merrill and Wells let advisors collect fees on their own and family member retirement accounts if money comes from non-retirement IRAs.

Finra Red-Flags Cybersecurity, Product and Extracurricular Activities

Self-regulator’s first synthesis of exam findings has lessons for big- and small-firm brokers as well as those considering breaking away to independent advisory firms.

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