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Vince Calvaruso Comment On Regulatory Notice 26-06
Vince Calvaruso
Registered Representative
When a RR receives a “No Action Letter,” such should be removed from BrokerCheck because the client has not shown its case has merit;
An arbitration 20+ years old under $5,000.00 should be removed from BrokerCheck without the RR having to pay court fees in an attempt to have it removed.
FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
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Vince Calvaruso Comment On Regulatory Notice 26-06