Finra board to consider crackdown on high-risk brokers, unpaid arbitration awards
The group also will mull amendments to arbitration procedures.
The board of the Financial Industry Regulatory Authority Inc. next week will address two nettlesome issues for the broker-dealer self-regulator: brokers with disciplinary histories who keep resurfacing in the industry and brokerages that fail to pay arbitration awards.
The group "will consider prop
Learn more about reprints and licensing for this article.
