Journal reporters pieced together stockbroker records from 27 states detailing the disciplinary and employment histories of about 550,000, or 87%, of the country’s stockbrokers, over their careers. Many brokers were registered in multiple states. New York’s Office of the Attorney General didn’t provide 2014 data on customer complaints against brokers, so the analysis used the state’s complaints data from 2013. The other data in the analysis were compiled in the 2014 first half.
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