Recent Ruling Could Help Brokers Get a Clean Slate With FINRA

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A California court showed mercy. In a recent ruling, the California Court of Appeal for the First Appellate District made it easier for brokers to remove disciplinary complaints and other black marks from FINRA’s BrokerCheck database.

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Published In: Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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