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Broker Dealers tighten their grip on advisers and those advisers' clients.

It is important to review any non-solicitation agreements before jumping.

Partnership Agreements are like Pre-Nups

BrokerCheck disclosures expanded to "Permanently" include any investment-related settlement with a state or foreign financial regulatory authority.

Should Broker's exam scores and failures be added to BrokerCheck?

Current and former employees of financial institutions can anonymously file Whistleblower claims and may be entitled to rewards.

FINRA approves new expungement rule.

FINRA to Prohibit Practice of Conditioning Settlements on Investor’s Agreement not to Oppose Expungement