Also, keep in mind that your inquiry is confidential.  The Division does not reveal your CRD request to the companies and/or financial professionals whose background you are verifying.

Information Available with CRD

In terms of disciplinary history of securities brokers and companies, you can determine any of the following:

• Final administrative actions made by federal, state or foreign governmental agencies,
• Criminal convictions or indictments,
•  Civil judgments and arbitration decisions involving public customers,
•  Settlements of $10,000 or more,
•  Liens, judgments, and bankruptcies filed within the last 10 years, and
•  Employment terminations following allegations of securities fraud, theft, or failure to supervise.

Other Important Resources & Reminder

You may also verify information about a financial professional by using BrokerCheck, an online service provided by the Financial Industry Regulatory Authority (FINRA) on its web site, www.finra.org or you may call 1-800-289-9999.  BrokerCheck, however, may not report certain types of information that may only be available through the Securities Division.

If you need assistance finding a securities regulator in another state, you can contact the North American Securities Administrators Association (NASAA) at 202-737-0900 or visit its web site, www.nasaa.org and click on "Find Regulator." 

Although the vast majority of stockbrokers are honest and reputable, others who may not be as reputable may try to discourage or distract you from checking out them and the information they present to you.  Thus, when investing, remember to: "Verify Before You Buy!"

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