Go Back   Early Retirement & Financial Independence Community > Community Forums > Active Investing, Market Strategies & Alternative Assets
Reload this Page Looking for a broker? Check them with FINRA BrokerCheck
Early-Retirement.org Google
Click Here to Login
Portal Forums Links Register FAQ Community Calendar Log in

Join Early Retirement Today
Reply
 
Thread Tools Display Modes
Looking for a broker? Check them with FINRA BrokerCheck
Old 07-30-2011, 12:22 PM   #1
Dryer sheet wannabe
DWPC's Avatar
 
Join Date: May 2009
Location: So. California for now
Posts: 23
Looking for a broker? Check them with FINRA BrokerCheck
In looking for a new broker, I've been surprised that several acct execs with major brokerage house whom I "interviewed" have a rap sheet on the FINRA Brokercheck site listing one or more violations. Some are many years back, some are small in value and involve technicalities, but a couple had client claims that involved six-figure settlements, usually for false representation of investment risk. Eye-opening.
DWPC is offline   Reply With Quote
Join the #1 Early Retirement and Financial Independence Forum Today - It's Totally Free!

Are you planning to be financially independent as early as possible so you can live life on your own terms? Discuss successful investing strategies, asset allocation models, tax strategies and other related topics in our online forum community. Our members range from young folks just starting their journey to financial independence, military retirees and even multimillionaires. No matter where you fit in you'll find that Early-Retirement.org is a great community to join. Best of all it's totally FREE!

You are currently viewing our boards as a guest so you have limited access to our community. Please take the time to register and you will gain a lot of great new features including; the ability to participate in discussions, network with our members, see fewer ads, upload photographs, create a retirement blog, send private messages and so much, much more!
Old 08-02-2011, 11:38 AM   #2
Thinks s/he gets paid by the post
packrat44's Avatar
 
Join Date: Jun 2007
Location: near Canadian border and near Mexican border
Posts: 1,142
That is one of many reasons why most people on this board recommend going solo.
__________________
Pigs get fat, hogs get slaughtered. That's my story and I am sticking to it.
packrat44 is offline   Reply With Quote
Reply

« All assets at one brokerage house question. | How do you manage your Dividend Portfolio? »

Currently Active Users Viewing This Thread: 1 (0 members and 1 guests)
 

Posting Rules
You may not post new threads
You may not post replies
You may not post attachments
You may not edit your posts
BB code is On
Smilies are On
[IMG] code is On
HTML code is Off
Trackbacks are Off
Pingbacks are Off
Refbacks are Off

» Quick Links

Contact Us - Portal Page - FIRECalc - Sitemap - Community Rules - Terms of Service - Privacy - Accessibility - Top
Register | | FAQ |a Calendar
© Copyright 2010 www.early-retirement.org. All Rights Reserved.
 
All times are GMT -6. The time now is 09:13 PM.
 
Powered by vBulletin® Version 3.8.8 Beta 1
Copyright ©2000 - 2024, vBulletin Solutions, Inc.