Brandon Taaffe

Brandon Taaffe

Shumaker, Loop & Kendrick, LLP

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SEC Approves Significant Changes to Expungement Process

It will become significantly more difficult to remove false customer complaints from advisors’ Central Registration Depositories (CRDs). Financial Industry Regulatory Authority (FINRA) is moving forward with long-pending...more

4/19/2023  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Securities and Exchange Commission (SEC)
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