Though barred, rogue brokers often find work

Regulators say there is a shortfall of data for investors when it comes to such cases: Keeping track of rogue brokers is a tricky business, particularly when they leave or are booted from the confines of the securities industry, but keep peddling financial products... Take, for example, Jeffrey Forrest, who no longer sells securities through a broker-dealer...

Investment News: Though barred, rogue brokers often find work