Wednesday, December 11, 2024

Tag: He’d Be Unemployable on Wall Street

If a Stockbroker Had Jamie Dimon’s BrokerCheck Record, He’d Be Unemployable on Wall Street

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    by Pam Martens and Russ Martens, Wall St On Parade:

    The last thing that a stockbroker on Wall Street wants to have on his BrokerCheck record is a “Disclosure” item. BrokerCheck is the database maintained by Wall Street’s self-regulator, FINRA, which allows the public to peruse the past history of someone they might be considering doing investment business with on Wall Street.

    A “Disclosure” item means that a complaint has been brought against you and it describes the nature of the complaint and the status.