Make an Appointment with an Attorney

Schedule an appointment

(914) 684-2100 White Plains

(212) 490-2020 NYC

Rogue Brokers – Your Past is Showing

On May 16, 2011, the Financial Industry Regulatory Authority (“FINRA”) launched the  FINRA Disciplinary Actions Online database, a new free database system that makes its disciplinary actions available to the public via its website.  The database allows users to search for FINRA actions by several criteria, including case number, document text, document type, action date, and individual/firm name and Central Registration Depository number, 24/7.  Disciplinary action documents such as Office of …

Read More