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BrokerCheck - FINRA's Dread Permanent Record

Picture of Keith Paul Bishop Posted on November 06, 2017 by Keith Paul Bishop

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...

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

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