Tools
Investor Resources
Tools and resources to help you investigate your broker, understand your rights, and protect your investments.
Investigate your broker
Check Your Broker's Background
FINRA BrokerCheck
The official FINRA tool to check a broker's registration, licenses, employment history, and disciplinary record.
SEC EDGAR
Search SEC filings, investment adviser registrations, and enforcement actions against investment advisers and firms.
IAPD — Investment Adviser Public Disclosure
Check the background and registration status of investment adviser firms and individual advisers registered with the SEC.
Know your rights
Investor Rights & Protection
FINRA Investor Education
FINRA's investor education center covering investor rights, fraud alerts, and tools for protecting your investments.
SEC Investor.gov
The SEC's resource for individual investors — covering investment basics, fraud warnings, and compound interest calculators.
PIABA — Public Investors Advocate Bar Association
The organization of attorneys who represent investors in FINRA arbitration. Richard Frankowski serves on the PIABA Foundation Board.
CFPB Consumer Financial Protection Bureau
File complaints and learn about your rights regarding financial products and services.
North American Securities Administrators Association
Represents state securities regulators. File complaints about state-level securities fraud.
SEC Whistleblower Program
Report securities fraud to the SEC. Earn 10-30% of sanctions over $1 million. Confidential and protected.
Take Action
Think You Have A Claim? Start Here.
Complete our confidential investor questionnaire. It takes about 10 minutes and helps us evaluate your potential claim at no cost.
Start The Questionnaire