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On the heels of a spike in brokers gaming the system to expunge complaints on their BrokerCheck record, FINRA is contemplating changing the process to make it more difficult. But should brokers be able to wipe clean records of complaints against them at all? Bobbi and Joe will explain the process and the problem while diving into a recent Investment News piece.
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By Joe Saul-Sehy & Crystal Hammond4.6
232232 ratings
On the heels of a spike in brokers gaming the system to expunge complaints on their BrokerCheck record, FINRA is contemplating changing the process to make it more difficult. But should brokers be able to wipe clean records of complaints against them at all? Bobbi and Joe will explain the process and the problem while diving into a recent Investment News piece.
Learn more about your ad choices. Visit podcastchoices.com/adchoices

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