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Protect yourself with help from FINRA*

You Can Protect Yourself from Fake Check Scams

  • Mystery Shopping Scam

  • Modeling Scam

  • Unexpected Check Scam

Here’s How (from FINRA’s investor newsletter)

Consumer Alerts

Why regulators in Boca Raton banned this broker

A national regulatory action carried out by officials in Boca Raton has barred a broker in the wake of allegations involving unauthorized trading and unsuitable investments, including precious metals. 212 more words


Exam priorities for securities firms in 2017

The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recently released their annual examination priorities for 2017.  Although the regulators independently develop their areas of focus, there are six overlapping priorities that securities firms may want to address in the near term. 1,017 more words

Financial Services

BrokerCheck System Offers Information about Brokers

A full service retail and institutional broker-dealer in New York, New York, Aegis Capital Corp. operates with a focus on enhancing client goals through unencumbered advice and a conflict-free platform. 126 more words

Aegis Capital Corp

Chief Counsel rules that fines paid to FINRA are not deductible

IRS Chief Counsel has determined that the Financial Industry Regulatory Authority (FINRA) is an entity serving as an agency or instrumentality of the government of the United States. 204 more words