Here's something I ran across while listening to the SEC's investor education podcasts. It's the FINRA site to check out investment professionals. The description of what the tool allows you to do from its Web site:
FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It should be the first resource investors turn to when choosing whether to do business with a particular broker or brokerage firm.
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