FINRA Broker/Check Offers Small Investors an Opportunity to Investigate their Brokers
The Financial Industry Regulatory
Authority (FINRA), the self-regulatory entity responsible for the administration of
examinations for stockbrokers and financial advisors, maintains its BrokerCheck website
at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/.
This website can be used to easily access readily-available information about your
stockbroker. This information includes the examinations they have successfully
completed, how long they have been Registered Representatives and stockbrokers, their current and
previous investment-related and FINRA firm affiliations, and other employment-related history.
The FINRA BrokerCheck website will
also include any customer complaints filed against your broker, either in Court, or with the FINRA
Office of Dispute Resolution, including its predecessors, the National Association of
Security Dealers (NASD) and the New York Stock Exchange (NYSE).
If you feel you have been victimized
by your stockbroker or financial advisor, we offer a free initial consultation to assess the merits of
your claim.
The Law Offices of Timothy J.
O’Connor is one of the only law firms practicing securities law in the Tri-City Capital District of
Albany, Schenectady and Troy. We also represent victimized investors throughout
the rest of New York State, including Buffalo, Binghamton, Syracuse, Watertown, Utica, Kingston, New
York City/Manhattan, Long Island, and everywhere in between, as well as in the surrounding states of
Massachusetts, Vermont, New Hampshire, Connecticut, and New Jersey.
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