EPISODE · Mar 17, 2021 · 41 MIN
Transparency with Diana B.: On the Brink of Bankruptcy
from Healthy Advisor
Every FINRA-registered rep is required to publicly disclose on their BrokerCheck profile certain events, such as regulatory actions, client complaints, and terminations. But the regulator also requires reps to disclose certain personal financial events, such as tax liens. Advisor Justin Reckers has always been transparent on his U4 about his troubles, which included a short … Read More Read More
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This episode is 41 minutes long.
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This episode was published on March 17, 2021.
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