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Written by 1:14 am 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:

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 https://whitesecuritieslaw.com.

Tags: , , , , , , , , , Last modified: July 17, 2015