Stock Broker Disciplinary, Employment & Regulatory History
Before turning over your money, wouldn't you like to know if your Stock Broker has:
Been Fired from a Prior Firm?
Customer Complaints or Arbitrations?
Been Disciplined by Securities Regulators?
Filed for Personal Bankruptcy?
Been charged with a crime ?
Stockbrokers are required to be licensed by the Financial Industry Regulatory Authority (FINRA) in order to sell securities. FINRA maintains records on each broker and brokerage firm. These records, which are freely available to the public, track the employment history, regulatory violations, licensing history and any customer complaints for every broker.
A quick review of this easily obtained record, called a CRD (Central Registration Depository) will provide you with information which every prudent investor should be aware of prior to entrusting the family nest egg.
In order to access and review information regarding the disciplinary and regulatory history of your stock broker and/or the brokerage firm where he or she is employed, follow this link to the BrokerCheck site maintained by FINRA.
There is no charge for this public service and it will only take a few minutes of your time to obtain information you need to know before entrusting someone with your life savings.
Over the years we have represented in excess of a thousand people who have been the
victim of the negligence or fraud of a financial advisor who was
entrusted with a life savings, a family nest egg. In many
instances a financial disaster might have been avoided had the victim
first reviewed the CRD of the broker.
site is provided as a public service by Robert H. Rex, a securities
lawyer at Rex Securities Law. We have been helping investors nationwide
and beyond, recover stock market and investment losses for 25 years.
For more information regarding the recovery of stock market and investment losses and FINRA arbitration, contact us or visit our Rex Securities Law website.