A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, ...

Julia Kagan is a financial/consumer journalist and former senior editor, personal finance, of Investopedia. Thomas J Catalano is a CFP and Registered Investment Adviser with the state of South ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...

The Financial Industry Regulatory Authority (FINRA) maintains a free and easy(ish) way to access records on people who work as brokers and investment advisers. It's called BrokerCheck. But it's not ...

The Securities Litigation & Consulting Group (SLCG) has done what regulators have repeatedly declined to do — published the worst ranked brokerage firms in the securities industry. “What we found is ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...

BrokerCheck provides detailed backgrounds on financial advisors and their firms. It includes advisors' registration, employment history, and any disciplinary actions. Using BrokerCheck does not alert ...

Some red flags are worse than others. This free online tool gives you information you need. It's easy to do your due diligence before hiring a financial adviser: You can use BrokerCheck to see if the ...

Julia Kagan is a financial/consumer journalist and former senior editor, personal finance, of Investopedia. David Kindness is a Certified Public Accountant (CPA) and an expert in the fields of ...