SEC News
- SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds May 22, 2013FOR IMMEDIATE RELEASE2013-91 Washington, D.C., May 22, 2013 — The Securities and Exchange Commission today charged the City of South Miami, Fla., with defrauding bond investors about the tax-exempt financing eligibility of a mixed-use retail and parking structure being built in its downtown commercial district. Additional Materials SEC Order An SEC investiga […]
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
TAG | find BrokerCheck FINRA
27
FINRA Improves ‘BrokerCheck’ Capabilities
Comments off · Posted by Securities Lawyer in FINRA
FINRA, the Financial Industry Regulatory Authority announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser information. Many of the changes implemented by FINRA address recommendations made in a January, 2011. study by the Securities and Exchange Commission (SEC) reported FINRA in an article on their website.
BrokerCheck users now have:
1. Centralized access to licensing and registration information on current and former brokers and brokerage firms, and investment adviser representatives and investment adviser firms;
2. The ability to search for and locate a financial services professional based on main office and branch locations, and the ability to conduct ZIP code radius searches (in increments of 5, 15 or 25 miles); and
3. Access to expanded educational content available on BrokerCheck, including new help icons that clarify commonly referenced terms throughout the system and within BrokerCheck reports.
FINRA Executive Vice President, Derek Linden, of Registration and Disclosure, said, “BrokerCheck is the go-to source for investors to find up-to-date accurate information about their broker or potential brokers. FINRA is constantly looking for new ways to make BrokerCheck easier to use and to make the information more accessible to investors.”
BrokerCheck is available to the public at no charge on FINRA’s website, www.finra.org/brokercheck.
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide before FINRA. If you have sustained investment losses due to your stock broker or financial advisor’s recommendations call for a free consultation on how to potentially recover your losses. To speak with an attorney call: 888-760-6552, or visit our website at: http://www.securitieslawyer.com.
brokercheck improvements · BrokerCheck usages · Financial Industry Regulatory Authority · find BrokerCheck FINRA · FINRA · FINRA arbitration · FINRA brokercheck · finra lawyer · finra securities arbitration lawyer · Ft. Lauderdale Securities Lawyer · Lars Soreide · SEC · Securities and Exchange Commission · securities arbitraton lawyer · securities lawyer · Soreide Law Group PLLC · Stock fraud lawyer
Many of our clients ask about FINRA’s BrokerCheck. Located on FINRA’s website, finra.org, BrokerCheck is defined by FINRA as “a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual.”
When using BokerCheck you can: research information about the broker and brokerages, research information regarding investment adviser firms and the representatives, if they are available you can also get background reports online, and from BrokerCheck, you can link to other resources such as educational tools for the investor.
FINRA says that the information about brokers and brokerage firms made available through BrokerCheck is from the Central Registration Depository (CRD®), the securities industry online registration and licensing database. The information about investment adviser firms and representatives made available through BrokerCheck is from the Securities and Exchange Commission’s Investment Adviser Public Disclosure (IAPD) database.
We encourage all investors to use this very valuable tool provided to them by the Financial Industry Regulatory Authority (FINRA). As FINRA says, it should be the first tool you use when choosing a broker, brokerage, financial advisor or an advisor firm.
(Find BrokerCheck by going to finra.org, click on the ‘industry’ link, then click on ‘BrokerCheck.’)
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have sustained investment losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: http://www.securitieslawyer.com.
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
brokerage supervisory deficiencies · brokercheck · BrokerCheck for Broker/Dealers · BrokerCheck usages · Central Registration Depository · CRD · Financial Industry Regulatory Authority · find BrokerCheck FINRA · FINRA · FINRA arbitration · FINRA brokercheck · finra lawyer · finra securities arbitration · FINRA's BrokerCheck · fort lauderdale securities fraud lawyer · how to use BrokerCheck · IAPD · inadequate supervisory procedures by broker/dealers · Lars K. Soreide · research your broker · research your financial advisor · SEC · SEC's Investment Adviser Public Disclosure · Securities and Exchange Commission · securities lawyer · Stock fraud lawyer
