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SSEK Broker Misconduct Attorney
Barred Brokers May Still Pose A Risk To Investors
Many Find Ways To Keep Working As Financial Advisors Despite Industry Expulsion
According to a Financial Advisor IQ article, hundreds of brokers who have been barred by the Financial Industry Regulatory Authority (FINRA) continue to find ways to stay in business even if it is no longer registered representatives with a broker-dealer. Many continue to promote themselves as trusted financial advisors, wealth planners, or insurance agents.