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Written by 1:14 am Blog, Securities Fraud Articles

Important securities and FINRA (NASD) Links

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):

FINRA Notices to Members (Notices sent out by FINRA regarding proposed rule changes, points of emphasis, etc.):

FINRA Investor Alerts (FINRA alerts regarding financial/securities scams that it is seeing as potential problems in the securities industry):

FINRA Code of Arbitration for Customer and Industry Disputes:

FINRA Locations and Numbers throughout the country:

SEC News Digest (SEC releases of its most recent investigations and claims it has brought against firms or individuals related to possible securities fraud):

Florida Department of State, Division of Corporations (for researching whether a Florida company is actively registered with the State):

Listing of Financial Advisors throughout the country:

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: December 2, 2022