All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority) (f/k/a the NASD). FINRA makes available to the public information on all registered financial advisors, including information on a stockbroker’s employment history, whether he has been sued, how he/she did on their licensing exams, and whether the broker has been investigated [...]
Filed under: Securities Fraud | Comment (0)
The Financial Industry Regulatory Authority (FINRA) recently announced that it is seeking authority to significantly expand the amount of information available to the public on current and former securities brokers (financial advisors) through its free online BrokerCheck service. The proposed expansion – which FINRA will submit to the Securities and Exchange Commission (SEC) in the [...]
Filed under: Securities Fraud | Comment (0)