FINRA Contemplates Changes To BrokerCheck Expungement Process

Published: Feb. 17, 2020, 7 a.m.

On the heels of a spike in brokers gaming the system to expunge complaints on their BrokerCheck record, FINRA is contemplating changing the process to make it more difficult. But should brokers be able to wipe clean records of complaints against them at all? Bobbi and Joe will explain the process and the problem while diving into a recent Investment News piece.