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March 30, 2017
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Current Investigations
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports, former independent broker Kathleen J. Tarr’s bid to expunge a customer’s complaint about allegedly unsuitable sales of privately-traded REIT sales from her regulatory record was denied last week. The Financial Industry
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January 11, 2012
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Blog, Securities Fraud
All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority) (f/k/a the NASD). FINRA makes available to the public information on all registered financial advisors, including information on a stockbroker’s employment history, whether he has been sued, how
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February 25, 2010
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) recently announced that it is seeking authority to significantly expand the amount of information available to the public on current and former securities brokers (financial advisors) through its free online BrokerCheck service. The proposed expansion – which FINRA
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