Rogge Dunn was quoted in an article by D Magazine covering the recent crackdown by the FINRA on rogue financial advisors, brokers, and Registered Representatives (RR).
FINRA established a new exam aimed at identifying high-risk brokers and RRs that could be dangerous to investors.
“While it remains to be seen just how aggressive FINRA will be, my impression from RRs and firms who have been investigated is that this time FINRA is devoting more resources and energy into disciplining high-risk RRs. Therefore, every RR needs to be prepared,” said Dunn.
You can read the full article here.