October 15, 2009 Comments (0) Blog, Securities Fraud

Important securities and FINRA (NASD) links related to securities fraud, researching securities scams, investor alerts, and finding our more information on your broker/financial advisor:

(Last Updated On: July 17, 2015)

FINRA BrokerCheck/CRD (FINRA’s brokercheck allows anyone to check the registration and regulatory history of a financial advisor, as well as whether the financial advisor has been named in any customer complaints):
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm

FINRA Notices to Members (Notices sent out by FINRA regarding proposed rule changes, points of emphasis, etc.):
http://www.finra.org/Industry/Regulation/Notices/2009/index.htm

FINRA Investor Alerts (FINRA alerts regarding financial/securities scams that it is seeing as potential problems in the securities industry):
http://www.finra.org/Investors/ProtectYourself/InvestorAlerts/

FINRA Code of Arbitration for Customer and Industry Disputes:
http://www.finra.org/ArbitrationMediation/Rules/CodeOfArbitrationProcedure/

FINRA Locations and Numbers throughout the country:
http://www.finra.org/ArbitrationMediation/Contacts/DRRegionalOfficesHearingLocations/index.htm

SEC News Digest (SEC releases of its most recent investigations and claims it has brought against firms or individuals related to possible securities fraud):
http://www.sec.gov/news/digest.shtml

Florida Department of State, Division of Corporations (for researching whether a Florida company is actively registered with the State):
http://sunbiz.org/
http://sunbiz.org/search.html

Listing of Financial Advisors throughout the country:
http://www.financialadvisordirectory.us/

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. To speak to a securities attorney please call our Chicago office ate 312-238-9650.

For more information on The White Law Group, visit http://www.whitesecuritieslaw.com.

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