Broker Check

Are you working with a "stock broker"? Maybe he calls himself a "financial advisor" or a "registered representative." Whatever the case, have you checked to see if he has any disciplinary problems or has had to pay out awards to clients who convinced the arbitrators that he mishandled their accounts?

FINRA is the securities industry regulator, and they are quite happy to provide you with such information at www.FINRA.org . . . look for "BrokerCheck" and then type in the name of your broker and/or his particular firm. You'll see his employment history, which exams he has passed, and you'll see if there are any disciplinary events to disclose. If so, read them. If not, chances are you're working with someone who--at least so far--has kept himself out of hot water. Get the E-Book Now