Brokers' disciplinary records will be available online to the public even if they leave the securities industry, a regulatory organization said Tuesday. The Financial Industry Regulatory Authority, ...

Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations. By Mark Schoeff Jr. Finra will be able ...

A recent Stanford Law School analysis reveals how easy it is for brokers to leave troubled pasts in the past. In a recent interview with Kiplinger.com, Assistant Professor at Stanford Law Colleen ...