You can research your investment firm and broker’s history through online and offline sources including:
- National Association of Securities Dealers
- FINRA (formerly NASD)‘s Broker Check
- Public Disclosure Hotline: (800) 289-9999
- State Records
- Individual states also keep records on brokers. You’ll find a list of state contacts on the FINRA (formerly NASD’s) investor site
Contact Stock Broker Fraud Attorneys of Colling Gilbert Wright & Carter today for your free stock broker case evaluation.