Daily Archives: November 10, 2017, 6:30 pm

SEC Creating Searchable Database of Bad Brokers — Think Advisor

The Securities and Exchange Commission is creating a website that will contain “a searchable database of individuals” who have been barred or suspended as a result of federal securities law violations, the agency’s chairman, Jay Clayton, said Wednesday. “This resource is intended to make the prior actions of repeat offenders and fraudsters more visible to investors,” Clayton said at the…

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