Doc Kennedy

Displaying 2 results
NEWS OPINION JAN 25, 2017
What financial advisers can do about a U5 disclosure

Given the current regulatory environment and increasing utilization of BrokerCheck by the public, a broker must take ownership of his or her CRD.

How frivolous customer disputes can be erased from Finra BrokerCheck
YOUR PRACTICE PRACTICE MANAGEMENT SEP 06, 2016
How frivolous customer disputes can be erased from Finra BrokerCheck

Customer complaint disclosures that are erroneous or without merit are all too common.