BrokerCheck is a big place to explore, but we had a method: before us were the latest Awards issued by FINRA-ODR and our effort was to see how those Awards were reflected in BrokerCheck.
PEEK-BEHIND AWARD: FINN v. CREDIT SUISSE SECURITIES (USA) — COMPENSATION DEFERRED OR DENIED?
We hear there are dozens of these cases against CSS for unpaid deferred compensation.
By George H. Friedman*
SAC Contributing Legal Editor and Board of Editors Member
Toward the end of last year, I authored a blog post,