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Tag: FINRA Broker Check

Blog, Securities Fraud Articles

FINRA BrokerCheck to Flag “Restricted Firms”

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

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Blog, Securities Fraud Articles

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

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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