Looking for a broker? Check them with FINRA BrokerCheck

[DWPC]

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.

 

[packrat44]

That is one of many reasons why most people on this board recommend going solo.