Arbitration change targets brokers
Finra has proposed requiring registered firms to report allegations of sales-practice violations against individual brokers in arbitration claims or civil lawsuits, even if the rep is not specifically named as a respondent.
Finra has proposed requiring registered firms to report allegations of sales-practice violations against individual brokers in arbitration claims or civil lawsuits, even if the rep is not specifically named as a respondent. The proposed rule amendments would essentially require such information to b
Learn more about reprints and licensing for this article.
