Tag: broker background check

November 22, 2013

FINRA Improves BrokerCheck

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

Blog, Securities Fraud Articles

November 7, 2013

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...

Blog, Securities Fraud Articles

January 26, 2011

FINRA to educate NFL Players on Investment Fraud

The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the National Football League (NFL) recently announced...

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