Call Now for a Free Consultation
(888) 637-5510

Tag: FINRA Broker Check

Blog, Securities Fraud

FINRA BrokerCheck to Flag “Restricted Firms”

The SEC Approves new Designation on FINRA’s BrokerCheck of  “Restricted Firm” According to reports this week, the...

Read More

Blog, Securities Fraud

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...

Read More

Blog, Securities Fraud

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...

Read More