FINRA Broker/Check Offers Small Investors an Opportunity to Investigate their Brokers

Stockbroker Law - Friday, October 05, 2012
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  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.


Blog Posts

Blog Post


Investment & Broker

Investment Misconduct



Private Company

Private Company Disputes


Personal Injury