Before entrusting a financial advisor with your Nest Egg wouldn’t you like to know if that broker has a history of customer complaints , sanctions by securities regulators or has been fired by a firm for cause?
Of course you would. FINRA maintains a public website where investors can access this critically valuable information.
Regulatory Notice 12-10, recently published by The Financial Industry Regulatory Authority ( FINRA) , seeks public comment on ways to facilitate and increase investor use of the BrokerCheck information.
BrokerCheck is designed to help investors make informed choices about the individual stockbrokers and firms with which they currently conduct or are considering conducting business by supplying information about the educational, employment and disciplinary history of registered stockbrokers and brokerage firms. This is an extremely valuable tool that many investors are unaware exists.
You can find out quickly by visiting BrokerCheck on the FINRA website and inputting the name of your broker or brokerage firm.
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.
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