{"id":10366,"date":"2022-01-04T12:34:08","date_gmt":"2022-01-04T17:34:08","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10366"},"modified":"2022-01-04T12:34:08","modified_gmt":"2022-01-04T17:34:08","slug":"brokers-with-bad-finra-disciplinary-records","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/brokers-with-bad-finra-disciplinary-records\/","title":{"rendered":"Brokers With Bad FINRA Disciplinary Records"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9853 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverRecoverysmall.jpg\" alt=\"When a registered FINRA broker dealer employs financial representatives, they have an obligation to supervise their brokers and employees so that they are compliant with both the firm's rules and with FINRA\u2019s.  Broker dealers are required to maintain adequate oversight to ensure that the people who work for them are working for the best interests of the customers. Without that oversight, financial services representatives may conduct business in a way that is not conducive to good business practices nor to the client\u2019s best interest. This is particularly true when a broker dealer has representatives with a history of misconduct and disciplinary activity with FINRA and the SEC.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverRecoverysmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/03\/FiverRecoverysmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>When a registered FINRA broker dealer employs financial representatives, they have an obligation to supervise their brokers and employees so that they are compliant with both the firm&#8217;s rules and with FINRA\u2019s. <a href=\"https:\/\/www.silverlaw.com\/blog\/brokers-with-bad-finra-disciplinary-records\/#more-10366\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>When a registered FINRA broker dealer employs financial representatives, they have an obligation to supervise their brokers and employees so that they are compliant with both the firm&#8217;s rules and with FINRA\u2019s. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-10366","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Brokers With Bad FINRA Disciplinary Records &#8212;<\/title>\n<meta name=\"description\" content=\"When a registered FINRA broker dealer employs financial representatives, they have an obligation to supervise their brokers and employees.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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