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Out of FINRA's Sight, 'Bad Brokers' Keep Working in Financial Services
News October 24, 2025 at 04:20 PM
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What You Need To Know
- Brokers who leave FINRA because of misconduct tend to end up in the insurance industry, where they continue to misbehave.
- Of individuals who exit FINRA’s broker regime, 79% were jointly registered in insurance upon exiting FINRA.
- Brokers are more likely to make the switch to insurance in states where insurance regulation is more lenient, the paper finds.
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