A Quick Check to Make Sure Your Broker is "Legit"

Investor Resources Are Out ThereOne of the hardest lessons many investors who have been taken in by a fraudulent financial professional or broker is that they might have known better. In the process of an investigation, they see that there was actually information available to them that indicated that their broker was either “rogue” or, in some cases, “barred” from practicing as a broker at all. Rogue Brokers Can’t Hide from BrokerCheck HistoryA rogue broker is one who has a long and checkered history of misconduct, complaints, or terminations. By checking the wonderful resource, BrokerCheck, made available to investors by FINRA, the industry regulatory body, diligent investors can see every registered brokers professional background online. FINRA’s CRD Report give the entire history of employment as well as any disputes and terminations the broker may have been involved with.Some Brokers Have Been Permanently BarredSome brokers have gone so…

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