The Wall Street Journal reports that "thousands of brokers have scrubbed their records clean of complaints by customers and employers, allowing them to hide information from potential investors. "The process, called "expungement" is under the direction of the Financial Industry Regulatory Authority (FINRA), that regulates the industry and is funded by those it regulates. According to an academic research study 70% of brokers who apply to have their misdeeds wiped from the records are granted their request. So don't trust the FINRA "broker check" resource on its website.
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