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Senator Warren Seeks Update on Reigning in Broker Misconduct
In the aftermath of a BrokerCheck study that concluded 1 in 13 advisors have tainted histories, Senator Elizabeth Warren (D-Mass.) is asking the Financial Industry Regulatory Authority to disclose plans for curtailing broker misconduct. So reports ThinkAdvisor.
Claiming that rogue brokers are commonplace on Wall Street, however, is probably sensational, says Mark Elzweig, an executive recruiter.
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