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 ...

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 ...

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 ...

The Securities and Exchange Commission recently approved a rule change to amend FINRA Rule 2210 to require broker-dealers to include a “readily apparent reference and hyperlink” to BrokerCheck on ...

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 ...