Doc Kennedy

Advisors Pursuing Customer Dispute Expungements Before September Will Pay a Fraction of the New Cost

Is A Social Media Post Worth Your Job?

Will old investor complaints have to be disclosed after the SEC’s Reg BI takes effect?

Working from home? Stay socially distant, virtually connected.

FINRA Is Jacking Up The Cost Of Expungement For Brokers

The Stakes for a Clean Record are Now Even Higher

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