The Financial Industry Regulatory Authority (FINRA) has been given the go ahead from the SEC to make it’s BrokerCheck service records of final regulatory actions against brokers permanently available to the public.
Previously, a broker’s record generally becomes unavailable to the public two years after he or she leaves the securities industry and is therefore no [...]
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Outsmarting Investment Fraud
After watching FRONTLINE’S Video “The Warning” which exposed rampant fraud at the topmost level in this country, I’m almost too discouraged to report information that may help prevent less significant fraud. It’s almost like we’re doomed to failure at keeping the crooks from stealing our savings.
But, what the hell. If it’ll save an honest American [...]