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Considering a New Broker? Be Smart: Check Out His/Her Background

Considering a New Broker? Be Smart: Check Out His/Her Background

Considering a New Broker? Be Smart: Check Out His/Her Background 150 150 Rex Securities Law

Before handing over the nest egg you spent a life time gathering together, do you and your family a favor and take a look at the background of the broker who will be handling the account.

The Wall Street Journal recently published an article with information on how to access this information on the FINRA website as well as a discussion about the “hot spots’ nationwide where brokers with troubled histories tend to gather.

You should also take a look at our page Research Your Broker where you can also find instructions on how to get information from the Edgar website about the financial stability of the brokerage firm you are considering dealing with. All brokerage firms are not created equal and there is no requirement that they insure the losses caused by the negligence of their brokers. See this for details. 

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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