where to find stock broker diciplinary actions?

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where to find stock broker diciplinary actions?

2006-06-29 07:11:04 · 2 answers · asked by william o 1 in Business & Finance ➔ Investing

2 answers

Go here to NASD and look up the broker

http://www.nasd.com/InvestorInformation/InvestorProtection/ChecktheBackgroundofYourInvestmentProfessional/index.htm

Anything disciplinary actions taken are on the record.....

2006-06-29 08:21:54 · answer #1 · answered by Anonymous · 0⤊ 0⤋

Individual broker or brokerage firm? Disciplinary actions by whom -- the firm (disciplining an individual broker), NASD, or SEC?

2006-06-29 07:28:02 · answer #2 · answered by NC 7 · 0⤊ 0⤋