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: https://www.securitieslawyer.com.
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
CHRISTIAN YAVIER GOMEZ (CHRISTIAN Y GOMEZ, CHRISTIAN GOMEZ) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 12/15/2025. Gomez was previously registered with BROOKLIGHT PLACE SECURITIES LLC of Fountain Hills, Arizona, from 08/29/2023 - 05/20/2025. CHRISTIAN Y GOMEZ was registered with NYLIFE […]
KEITH MICHAEL DAGOSTINO (KEITH M DAGOSTINO, KEITH DAGOSTINO) was fined $25,000.00 and suspended for 24 months with a start date of 1/5/2026, and an end date of 1/4/2028. Dagostino was with AEGIS CAPITAL CORP of Melville, New York from 10/03/2014 - 11/29/2023, and was last registered with EF HUTTON LLC of Woodbury, New York from […]
Investors have reportedly disputed the sales practices of securities broker John Dennis Lowry [CRD: 4336146, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lowry has been registered with Spartan Capital Securities LLC since July 10, 2008. See the following information to learn more about the disclosures involving […]
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