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Tag: financial advisor employment history

Blog, Securities Fraud Articles

January 11, 2012

How To Research Your Financial Advisor with BrokerCheck

All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority). FINRA BrokerCheck...

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Blog, Securities Fraud Articles

February 25, 2010

FINRA Proposes Expansion of Public Broker Information

The Financial Industry Regulatory Authority (FINRA) recently announced that it is seeking authority to significantly expand the amount of...

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