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Guilty By Association

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Sep 25, 2019 2:50 am

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?