If you want your hard-earned money to work for you, then you want to make sure you put it in the right hands. FINRA BrokerCheck helps you determine if you can trust a particular person who is managing ...

Julia Kagan is a financial/consumer journalist and former senior editor, personal finance, of Investopedia. Thomas J Catalano is a CFP and Registered Investment Adviser with the state of South ...

The Financial Industry Regulatory Authority (FINRA) maintains a free and easy(ish) way to access records on people who work as brokers and investment advisers. It's called BrokerCheck. But it's not ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...

“You wouldn’t order dim sum without checking the reviews,” says an online ad from the Financial Industry Regulatory Authority. After a cartoon mouse scurries from a plate, the video continues, “So why ...

Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations. By Mark Schoeff Jr. Finra will be able ...

A federal judge just shut down an advisor's attempt to erase customer complaints from his record by suing FINRA directly, reinforcing the regulator's grip over BrokerCheck. If you have ever thought ...

BrokerCheck provides detailed backgrounds on financial advisors and their firms. It includes advisors' registration, employment history, and any disciplinary actions. Using BrokerCheck does not alert ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

Many investors don’t know what the Financial Industry Regulatory Authority’s BrokerCheck website is, but that’s about to change. FINRA launched a national ad campaign Monday to bring more awareness to ...