It may be better to fight than to make a deal when the Financial Industry Regulatory Authority’s (FINRA) enforcement division comes calling, according to an annual study of disciplinary proceedings by the Washington D.C. office of the law firm Sutherland Asbill & Brennan.
The lobbying group of plaintiffs’ lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to “immediately halt” the practice that allows arbitration panels to expunge customer complaints from a rep’s record.
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As an advisor, you have likely built a business of substantial value. Unlike other businesses, your most valuable asset is the relationship you've built with your clients, which commands time and commitment to ensure a successful transition near the end of your career....More