Description

Broker check – Provides information on former and current FINRA registered brokers and brokerage firms: http://brokercheck.finra.org/

Investment Adviser check – Checks to see if your investment advisor is registered: http://www.sec.gov/investor/brokers.htm

FINRA – Financial Industry Regulatory Authority: http://www.finra.org

SEC – Securities & Exchange Commission: http://www.sec.gov

NASAA – North American Securities Administrators Association: http://www.nasaa.org

Report securities fraud – To report a problem or complaint: http://www.sec.gov/complaint/

U.S. Commodity Futures Trading Commission: http://www.cftc.gov/

NFA – National Futures Association: http://www.nfa.futures.org

American Arbitration Association: http://www.adr.org/