Stockbroker Disciplinary, Regulatory and Employment Records

Information Contained on CRD

The BrokerCheck website maintained by FINRA provides valuable information about the backgrounds of all stockbrokers. The site maintains information on currently registered brokers as well as formerly registered brokers. Information for these reports is required to be reported periodically by brokers and their firms. In addition information is provided by securities regulators.

Information Available On FINRA Website

The information available on a BrokerCheck report for a broker includes:

  • Name, aliases, address.
  • Employment and registration history. This shows all the FINRA broker-dealers he has worked for as well as summary information on employment outside the securities industry.
  • Licensing history, including the dates he took and passed, or failed each licensing exam.
  • Information about customer disputes including written complaints, arbitrations & lawsuits. Details are provided regarding the basis of the claim, the amount in controversy and the amount of any settlement or award. If the broker contributed his own funds toward the resolution, that detail is provided.
  • Internal Revenue Service tax liens and any bankruptcy filings by the broker.
  • Criminal charges, if any.
  • Disciplinary actions, including fines, suspensions or bars from the industry by FINRA, the SEC or any state securities regulator.

The information available on a BrokerCheck report for a brokerage firm includes:

  • The firm's licensing information, address and any former names for the entity.
  • Disclosures about arbitration awards, lawsuits, etc.
  • Results of any actions taken by state or federal securities regulators.

If you have questions about losses in your brokerage account, please contact us for a free consultation. We have been helping investors recover stock market losses for more than 25 years.

Nationwide representation.

Robert H. Rex, Esq.
Rex Securities Law
Dickenson Murphy Rex & Sloan
150 East Palmetto Park Rd, Suite 500
Boca Raton FL 33432

  View Robert Rex's profile on LinkedIn Rex Secutities Law/Dickenson Murphy Rex & Sloan Boca Raton
Rex Securities Law
150 E. Palmetto Park Rd. Suite 500 Boca Raton, FL 33432 Google
Phone: 561-391-1900 Website:
Rex Securities Law
150 East Palmetto Park Rd. Boca Raton , FL 33432 US
Phone: 561-391-1900 Website:
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