“That's the No. 1 complaint we hear — the [database] doesn't allow for any grouping or aggregation of the data,” said Mr. Alfred, who, along with Mr. Siedle, charges that Finra has stymied efforts to ...

Brokers' disciplinary records will be available online to the public even if they leave the securities industry, a regulatory organization said Tuesday. The Financial Industry Regulatory Authority, ...

FINRA is not giving up on its initiative to require firms to include a link to its BrokerCheck database on web sites, social media pages or any other online communications. “We withdrew it not because ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...