logo_web_wht
(888) 637-5510

Tag: investment adviser background check

Blog, Securities Fraud Articles

FINRA Improves BrokerCheck

On November 12, 2013 the Financial Industry Regulatory Authority (FINRA) launched its new enhanced version of BrokerCheck, an online tool...

Read More

Blog, Securities Fraud Articles

Has my broker ever been sued?

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...

Read More