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FINRA Deletes Red Flags From Brokers' Records, Says Study

By Stephanie Russell-Kraft · March 6, 2014, 3:47 PM EST

The Financial Industry Regulatory Authority Inc. routinely deletes "red flag" information about brokers' bankruptcies, tax liens, firings, flunked tests and sales practice abuse investigations in its background information disclosure system, according...

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FINRA Deletes Red Flags From Brokers' Records, Says Study

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