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https://www.finra.org/investors/have-problem/file-complaint/complaint-center
Immediately question your broker about any transaction that you do not understand or did not authorize with your broker. If you are not satisfied with your broker’s response, contact the firm’s branch manager or compliance department. If you lost money or there was an unauthorized trade made in your account, you should complain in writing.
https://www.finra.org/rules-guidance/key-topics/books-records
Dec 21, 2016 · The broker-dealer must accurately organize and index all information maintained on both the original and any duplicate storage media. The broker-dealer must be able to have such indexes available for examination by the SEC and SRO staffs. The broker-dealer also must store a duplicate copy of the index separately from each original index.
https://www.investopedia.com/investing/broker-dealer-firms/
Below is a list of the top 15 broker-dealer firms based on AUM numbers available from the companies as of October 25, 2018. We avoided ranking broker-dealers by the number of advisors in the firm ...
https://brokercheck.finra.org/
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
https://data.investmentnews.com/broker-dealer-data/
Broker-dealer Data Center. Explore the B-D Data Center to find exclusive information and intelligence about the independent broker-dealer industry. Find out which firms offer the highest payouts, have the most reps in the field and generate the most revenue - or create your own custom rankings.
https://data.investmentnews.com/broker-dealer-data/rankings
Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet. For comments or suggestions about the BD Data Center, please contact us. Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other
https://www.sec.gov/fast-answers/answersbdrecrdhtm.html
Jan 14, 2013 · Be sure to examine your account statements and confirmations carefully to make sure they accurately reflect the date, price, and type of security bought or sold and the certificate number of any security you received from or delivered to your broker. And if you see a …
http://www.wdfi.org/fi/securities/enforcement/complaint.htm
Division of Securities Enforcement: (608) 266-1603; Instructions for Filing Broker-Dealer / Investment Adviser Complaints. Complaints about a broker-dealer or investment adviser are initially investigated by the staff of the Professional Registration and Compliance Bureau. If you would like to initiate a complaint against a registered broker ...
https://www.thebalance.com/what-is-a-broker-dealer-4067290
Jun 25, 2019 · Does the broker-dealer or broker-dealer representative have a criminal history, a history of allegations of misconduct, or other material facts about which you should be aware? To find out the answer, use the FINRA BrokerCheck system to investigate complaints filed against the broker-dealer you are considering entrusting with your money.
https://www.sec.gov/enforce/34-82951-s
Mar 27, 2018 · ADMINISTRATIVE PROCEEDING File No. 3-18409. March 27, 2018 – The Securities and Exchange Commission today announced settled charges against a New York-based broker-dealer and its CEO and founder for violating an SEC rule designed to protect customer assets held in brokerage accounts.. The net capital rule is a key component for investor protection, requiring broker-dealers to …
https://www.etnasoft.com/brokerage-regulations/
Broker-dealer regulation in the U.S. is tight.And rightly so. After all, whether brokers work with stocks, currencies, bonds, or other financial instruments, broker-dealers often handle large amounts of money, including other people’s.
https://www.wkelmsolutions.com/blog/anonymous/ease-burden-finra-rule-4530-reporting-and-improve-response-customer-complaints
Broker-dealer firms can turn around customer complaints more quickly and effectively. The same tools that facilitate reporting come into play to ensure that follow-up with customers is timely, no complaints simply “slip through the cracks,” and any needed investigations are initiated and managed efficiently.
Screw that. Turn the tables! Become a data dealer and get all the dirty details on your friends, neighbors and the rest of the world. Collect the best data delicacies from your underground sources, and create companies and online ventures. ... Brilliant suggestions, cute complaints …
https://corpgov.law.harvard.edu/2015/12/26/sec-enforcement-actions-against-broker-dealers/
Dec 26, 2015 · Broker-dealers have been and remain a critical focus of the Commission’s enforcement program. In the first 11 months of 2015, the SEC brought enforcement actions against broker-dealers in approximately two dozen distinct areas, with sanctions ranging from less than $100,000 to …
https://www.investmentctr.com/
Since 1991, Investment Advisor’s editorial staff has conducted a survey where advisors rate their own broker-dealers. There are 15 categories for the advisors to rate, and the broker-dealer that receives the highest rating is named Broker-Dealer of the Year within their division.
https://mvsabc.com/pdf-fpg/fact-sheet-consumer-complaints-motor-dealers-broker-agents/
The VSA is an independent, non-profit regulatory agency that oversees the retail sales of personal-use motor vehicles in British Columbia.
https://www.investmentnews.com/massachusetts-securities-regulator-galvin-hits-two-broker-dealers-and-brokers-with-complaints-69580
Massachusetts securities regulator Galvin hits two broker-dealers and brokers with complaints ... a history of hiring broker-dealer agents with a record ... investment information and data.
https://mn.gov/commerce/consumers/tips-tools/license-lookup.jsp
Minnesota Department of Commerce 85 7th Place East, Suite 280 Saint Paul, MN 55101 (Local) 651-539-1500 (Complaints) 651-539-1600
https://www.hardincompliance.com/blog/broker-dealer-compliance-to-do-list-for-2019/
Jan 07, 2019 · Regulatory Deadlines for Broker-Dealers. Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers. This list is not intended to be exhaustive, but it should help compliance officers set up their regulatory calendars for 2019. January. FINRA Accounting Support Fee: Quarterly invoice to support the GASB budget ...Phone: (724) 935-6770
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