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.
Soreide Law Group is investigating potential investor claims involving J.P. Morgan Securities LLC (JPMS) after FINRA sanctioned the firm over supervisory failures involving a high-risk, leveraged investment strategy. Investors who suffered losses through this strategy may have legal options and should read below for details about FINRA's action against J.P. Morgan Securities. What Was The […]
Investors potentially incurred losses because of securities broker Christina Leanne Benton (also known as Christina Leann Benton and Chrissy Benton) [CRD: 7141536, Grass Valley, California], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benton worked for Wells Fargo Clearing Services LLC from August 2019 to April 2021. She has been associated […]
Investors may have suffered financial harm by securities broker Michael Giordano (also known as Mike Giordano) [CRD: 5352775, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Giordano has been registered with Charles Schwab Co. Inc. since March 30, 2021, and previously worked for Ameriprise Financial Services LLC in Hauppauge, […]
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