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Looking for a broker? Check them with FINRA BrokerCheck
Old 07-30-2011, 12:22 PM   #1
Dryer sheet wannabe
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Join Date: May 2009
Location: So. California for now
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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.
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Old 08-02-2011, 11:38 AM   #2
Thinks s/he gets paid by the post
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Location: near Canadian border and near Mexican border
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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.
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