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FINRA Announces Escalation of High-Risk Broker Program

Board of Governors Authorizes FINRA To File Recruitment Compensation Proposal With SEC

Are Brokers Fiduciaries, Even Though They Accept Commissions? Yes, Says Financial Advice Ethics Expert Ron Rhoades

FINRA Considers Proposal Mandating Greater Consumer Access To BrokerCheck Through Web Links

Broker Says Record That Shows Investor Complaints Totaling $1.4 Million Should Be Expunged Out Of Fairness And A California Appeals Court Agrees

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