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of Financial Management - Protect Top Clients
Securities Law Sposored Legal Link -
KSF Securities Law
Firm
The Above Link and Complaint Button
will allow you to seek legal help.
Tips for Checking Out Brokers and
Investment Advisers
Federal or state securities laws require brokers, investment
advisers, and their firms to be licensed or registered,
and to make important information public. But it's up to
you to find that information and use it to protect your
investment dollars. The good news is that this information
is easy to get, and one phone call or web search may save
you from sending your money to a con artist, a bad financial
professional, or disreputable firm.
Before you invest or pay for any investment advice, make
sure your brokers, investment advisers, and investment adviser
representatives are licensed. Always check and see if they
or their firms have had run-ins with regulators or other
investors.
This is very important, because if you do business with
an unlicensed securities broker or a firm that later goes
out of business, there may be no way for you to recover
your money — even if an arbitrator or court rules in your
favor.
FY 2005 Annual Complaint Data
During fiscal year 2005 (ending September 30, 2005), the
SEC's investor assistance staff received 76,221 complaints,
questions, and other contacts — a 4% increase compared with
fiscal year 2004. http://www.sec.gov/news/data.htm
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