When looking for an Investment Professional, the process can be daunting at times and you find yourself asking, “Do they have my best interest?” “Are they recommending investments based on high commissions they will receive or based on my goals?” “Are they trustworthy?” and so on.
It is highly recommended that before you select your Investment Professional, you must do your due diligence. The financial industry is regulated, not only by the SEC (Securities and Exchange Commission) but also by FINRA (Financial Industry Regulatory Authority). FINRA offers a tool on their website called, BrokerCheck where you can enter the name of the investment professional and even their location and in turn, you receive a report.
Should you need assistance in doing so, or need assistance with the initial analysis of the report, Vernon Litigation Group offers a free BrokerCheck service. With over 16,000 investment firms and 825,000 securities professionals licensed to conduct business in the United States, it is important to have as much information as possible when choosing your investment professional. We can help you make an informed decision by providing a free report of the investment professional’s employment and licensing history as well as records of customer or regulatory complaints.
Vernon Litigation Group is a law firm that represents clients in courtroom litigation, arbitration, including FINRA arbitration and mediation throughout the United States. Our lawyers have significant experience pursuing claims against brokerage firms/ financial advisors/ registered investment advisors. Please contact us to discuss your rights if you believe a Registered Investment Advisor has failed to act in your best interests or otherwise abused your trust. You can reach us at (239) 319-4434 or email Brooke Sandoval-Banker at bsandovalbanker@vernonlitigation.com.