A U.S. district judge in Manhattan has dismissed a lawsuit brought by a former broker who claimed that disclosures on the Financial Industry Regulatory Authority’s BrokerCheck database violated his privacy rights, Reuters reports.
In 1997 Alan Santos-Buch faced disciplinary action for violating industry rules by signing and sending a document guaranteeing a customer’s account against losses. Santos-Buch paid a $10,000 fine and agreed to a 30-day suspension to settle the charges, Reuters reports.
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