Investing? Protect yourself!

The Wall Street Journal provided this great link (which I've added under ORGANIZATIONS on the lower right panel of this blog):

Financial Industry Regulatory Agency

You can find regulatory records for stockbrokers, investment advisers, insurance agents and their firms online...which states and regulatory organizations that brokers and their firms are registered with, along with the licenses they hold, the exams they've passed, and their employment history.

The site also lists any formal investigations and disciplinary actions initiated by regulators, along with customer disputes, certain criminal charges and financial disclosures, including bankruptcies.

For investment advisers with firms regulated by the Securities and Exchange Commission--usually those managing more than $25 million - Investment Adviser Search.

Taken from: Seven Questions To Ask When Picking A Financial Advisor