What to Do if You Suspect Your Broker is Fraudulent
Fraud is a problem in any industry, especially the financial industry. Classic fraud schemes like Ponzi schemes begin with a promise of an investment opportunity but often end with financial ruin and potential participation in a crime. Other schemes are subtler or may...
Warning Signs of Fraud During BrokerCheck
BrokerCheck is one of FINRA’s tools that help inform investors and help keep them aware of potential issues in the financial advising community. Not everyone claiming to be a broker or financial advisor has the proper certifications and licenses to qualify them...
What Are the FINRA Requirements Your Broker Needs to Meet?
Brokers and financial advisors are held to certain standards based on federal and state law. In addition, the Financial Industry Regulatory Authority (FINRA) creates specific rules that apply to financial industry professionals across the country. These rules require...
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