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Written by 10:46 pm Publications

Wall St. Cheat Sheet: Troubling Trend – Brokerages Negotiate Clean Records

As a securities attorney who represents investors in claims against brokerage firms, I have noticed a recent trend that is troubling — a recent push by brokerage firms to cover up the misdeeds of their brokers…

As a securities attorney who represents investors in claims against brokerage firms, I have noticed a recent trend that is troubling — a recent push by brokerage firms to cover up the misdeeds of their brokers. With increasing frequency, I have seen that brokerage firms are now including as a condition of settlement that the customer not fight the firm’s request to have the case “expunged” from their financial advisor’s record.

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Last modified: July 17, 2015