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    BrokerCheck - FINRA's Dread Permanent Record

    Many a school child has received the awful warning to be careful lest some offense be entered on his or her "permanent record".  As required by statute (15 U.S.C. § 78o-3(i)), the Financial Industry Regulatory Authority, Inc. (aka FINRA) has...

    Broker-Dealers, Nasaa, NASD, Rule 8312, 2017 Cal. App. LEXIS 959, BrokerCheck, Dana Sabraw, finra, Flowers v. FINRA

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