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7% of Advisors Have Faced Disciplinary Action: Study
A study by the Booth School of Business has concluded that advisor misconduct is “pervasive” and that 7% of advisors have faced disciplinary action, says Amit Seru, a professor of finance at the school and one of study’s authors. So reports The Week.
As part of the study, researchers created six broad categories of misconduct and then analyzed data from the Financial Industry Regulatory Association’s BrokerCheck.
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