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Do BrokerCheck disclosures ever fall off automatically?
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Having a clean public record in the financial services industry is crucial.
This week we’re talking with Harris Freedman, J.D. to discuss the types of disclosures that will naturally fall off of an advisor’s record, versus those that require the advisor to seek expungement through an official forum, like FINRA arbitration.
This week we’re talking with Harris Freedman, J.D. to discuss the types of disclosures that will naturally fall off of an advisor’s record, versus those that require the advisor to seek expungement through an official forum, like FINRA arbitration.