broker background check
Tag Archive

  • FINRA Improves BrokerCheck

    November 22, 2013 Comments (0) Blog, Securities Fraud

    On November 12, 2013 the Financial Industry Regulatory Authority (FINRA) launched its new enhanced version of BrokerCheck, an online tool that allows you to review the background of your investment professional. Work history, registration status, and disciplinary records can all be found using BrokerCheck. The new

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  • Has my broker ever been sued?

    November 7, 2013 Comments (0) Blog, Securities Fraud

    If you have ever wondered if your broker or investment adviser has been sued by a customer, there is a great online tool called BrokerCheck that allows you to research the background of your financial professional. BrokerCheck is a free online database provided by the Financial Industry Regulatory Authority (FINRA).

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  • FINRA to educate NFL Players on Investment Fraud

    January 26, 2011 Comments (0) Blog, Securities Fraud

    The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the National Football League (NFL) recently announced that they are working together to help incoming NFL players spot and avoid investment fraud and begin their playing careers by making informed financial decisions. This joint

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