FINRA’s Plan for BrokerCheck Link

Posted on February 14th, 2014 at 9:00 AM

From the Desk of Jim Eccleston at Eccleston Law Offices:

FINRA will present a plan to require that brokerages feature a prominent link on the websites to FINRA’s free online disclosure database - “BrokerCheck”. The plan is intended to allow investors to research the background of Reps and brokers more easily.

FINRA also will propose a new rule that banning settlements in arbitration disputes between brokerages and investors whichrequire investors to not oppose removing details about complaints from brokers' background records.

The attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 50 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston

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