UPDATE FEBRUARY 2015: IAA Financial LLC no longer registered according to FINRA website.
According to an article reported in the Investment News on June 4th, 2014, 31 of the 37 FINRA registered brokers at IAA Financial have been with at least one brokerage firm that has been expelled by securities regulators. The article also points out that on average, each of the 31 brokers had worked at three defunct firms and 7 of the brokers had worked at five or more firms that were expelled from the industry by FINRA.
Of the 37 brokers, over half of them had at least one disclosure event on their BrokerCheck record.
See this for information on how to research the background of any stockbroker on the FINRA BrokerCheck website.
If you have losses in your brokerage account that you believe were caused by the negligence and/or fraud of your stockbroker, call to discuss how you may be able to recover those losses through FINRA arbitration.
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