Misleading disclosures linger as advisors try to rebuild reputations with expungement
Even if advisors get a disclosures removed from their records, the damage done online can be difficult to manage.
Source: financial-planning.com
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Alabama regulator intervenes in broker expungement case
Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.
Source: financial-planning.com
U5 defamation missing from expungement reforms
Despite standout defamation awards, such as a $13.5 million payout to an ex-UBS rep, advisors and attorneys say firms are abusing their U5 power.
Source: financial-planning.com