Check on your broker or insurance agent
Date: Wed, 09/05/2007 - 07:17
If any of you own any stock and work with an agent there is a site you can go to check and see if they have any complaints, state, federal or SRO actions against them and also criminal actions. Many of your insurance agents are listed here also. Every stock broker or insurance agent, or any type of agent who is licensed to sell any type of security product has to be registered and licensed through us. Originally created in 1938 as an amendment to the SEC act of 1934, the NASD, now FINRA is responsbile for helping to regulate and license all brokers in the nation, over 600,000 and brokerage firms. Here is a link to the site where you can check on your broker or insurance agent. If you have any questions, let me know.
http://www.finra.org/InvestorInformation/InvestorProtection/ChecktheBackgroundofYourInvestmentProfessional/index.htm
http://www.finra.org/InvestorInformation/InvestorProtection/ChecktheBackgroundofYourInvestmentProfessional/index.htm
Thanks for the INFORMATION :P That is going to help people out
Thanks for the INFORMATION :P That is going to help people out alot.
ladybug
Its always good to know what kind of history the person has, esp
Its always good to know what kind of history the person has, especially if they are handling your hard earned money. Also when you go to that site there are links to the left to help with investing, how to avoid problems and how to file a complaint against your broker or agent if you feel the need to.
Excellent info ram!! Now that we are all more aware of what we a
Excellent info ram!! Now that we are all more aware of what we are doing with our money it's a good thing to check out every aspect of our financial life.
