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Tag: FINRA Broker Check

FINRA BrokerCheck to Flag "Restricted Firms" featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

February 8, 2023

FINRA BrokerCheck to Flag “Restricted Firms”

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

Kathleen J. Tarr

Current Investigations

March 30, 2017

FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr

FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports, former independent broker Kathleen J. Tarr’s bid...

Blog, Securities Fraud

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...

Blog, Securities Fraud

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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