The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month.
Here are significant Florida related actions for October 2012. Follow this link to the FINRA website for the entire report for actions nationwide for the month of October 2012 as well as to access earlier time periods.
You can access the employment, educational and disciplinary history of any broker by going to the FINRA Broker Check website which can be accessed here.
is not currently registered and last worked for Allstate Financial Services in Jacksonville.