Equitable Advisors Fined By FINRA Over Customer Settlement Agreements
by Admin Istrator | November 10, 2021 10:25 pm
When brokerage firms enter into settlements with customers, firms are prohibited from conditioning those settlements on the customer agreeing to expungement. The prohibition is contained in FINRA Rule 2081. Here is a copy of the Acceptance, Waiver and Consent entered into with Equitable Advisors.