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 ...

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 ...

If you're thinking about investing your money, you're probably researching the investments themselves — stocks, bonds, funds, REITs, etc. That's certainly a good start. You want to become intimately ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...

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 ...

“That's the No. 1 complaint we hear — the [database] doesn't allow for any grouping or aggregation of the data,” said Mr. Alfred, who, along with Mr. Siedle, charges that Finra has stymied efforts to ...

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 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 ...