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A new report by the arbitration attorneys’ group points to continued abuses of FINRA’s expungement process; the group calls for an independent investigation into the latest issues.
Allegedly, James Heafner of Taylor Capital Management invested funds from five retirees with a company charged by the SEC with defrauding thousands of investors.
Advisor Legacy hopes to fill the gap between practice-listing marketplaces and in-house succession-planning departments at broker/dealers and custodians.