- Financial Industry National Regulatory Authority (FINRA). FINRA regulates both the firms and professionals selling securities in the United States and the U.S. securities markets. Self-Regulatory Rules and Guidance. Notice to Members.
- Office of Fraud Detection and Market Intelligence. Reviews of allegations of serious fraud and significant investor harm, gathers and evaluates regulatory intelligence from a number of sources, including regulatory filings, tips and investor complaints, and expedites the review of high-risk tips and fraud-related matters. Includes the Insider Trading Surveillance Group, the Fraud Surveillance Group, and the Office of the Whistleblower.
- FINRA Broker Check – Learn about your broker and their employer. Prior employers, regulatory history, customer complaints, arbitration claims, criminal history, bankruptcies.
- FINRA Disciplinary Actions Online – A searchable database of FINRA disciplinary actions against stockbrokers and securities broker-dealers. The database also includes opinions issued by the United States Securities & Exchange Commision and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.
- Arbitration Awards Online – FINRA Arbitration Awards on line, free searchable database of securities arbitration awards rendered in arbitrations before FINRA, the National Association of Securities Dealers, New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rulemaking Board. Users may search for awards by Case Number, Document Text, Date of Award or Forum. Awards can be viewed online, printed, or downloaded as text-searchable PDF files.
- Securities Class Action Clearing House – The Securities Class Action Clearinghouse compiled and managed by the Stanford Law School provides detailed information relating to the prosecution, defense, and settlement of federal class action securities fraud litigation. The searchableClearinghouse also contains copies of more than 31,200 complaints, briefs, filings, and other litigation-related materials filed in these cases.
- SEC Investment Advisor Database — Securities & Exchange Commission database allows the search for individual Investment Adviser Representatives, and Investment Adviser firms, providing professional backgrounds, registrations, employment history, and disclosures about certain disciplinary events Individuals that are Registered Representatives of a Brokerage firm that are listed in FINRA’s BrokerCheck system will also appear in search results.
- North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico. NASAA members share a common goal of protecting investors and offer a wealth of resources to help investors spot and avoid investment fraud.
- United States Investor Resources – An interactive map showing all FINRA hearing locations nationwide and also showing the contact information for the state securities regulators of all fifty states.
- Ponzi Tracker — A comprehensive database of thousands of legal pleadings and the only known database of all Ponzi schemes uncovered in the from 2009 to 2015, and provides all known websites for receiverships or trustees appointed over Ponzi schemes.
Need Help Finding a Lawyer
- The Public Investors Arbitration Bar Association (PIABA) is an international bar association whose members represent investors in disputes with the securities industry. PIABA is an educational and networking organization for securities arbitration attorneys who represent the public investor in securities disputes.
- AVVO – A searchable database of 97% of the lawyers licensed in America by name, location and practice area. Provides detailed information educational background, work experience, lawyer endorsements and client reviews.
- Justia – A searchable database of lawyers, by practice area, geographical location. In addition to all federal statutes, regulations and cases, also contains state statutes, regulations, case law and other useful information from all fifty states.
- Martindale-Hubbell is an information services company to the legal profession that was founded in 1868. The company publishes the Martindale-Hubbell Law Directory, which provides background information on United States lawyers and law firms.
Guiliano Law Firm
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com.