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Tag: investment adviser background check

Blog, Securities Fraud

FINRA Improves BrokerCheck

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

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Blog, Securities Fraud

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...

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