Broker Check disclosed a firm I worked at for 3 months. I terminated in 1993 and it disclosed in BIG RED PRINT: Firm was expelled in 2000. Spoke with FINRA and they said “too bad” you are guilty by association. Will not remove it. Anyone think this can be won through a fight to expunge? Had a prospective client said they won’t work with me because I was expelled from the industry. Any thoughts?
Sep 25, 2019 2:50 am