Skip to Content

FINRA Launches New Website With Securities Fraud Tools and Resources for Investors

November 9, 2020 Blog

The Financial Industry Regulatory Authority (FINRA) recently launched a new website, and its new site includes a “For Investors” section that provides several useful tools and resources for individuals who invest directly through their own brokers and advisors. If you have questions about investment options or how to recover fraudulent investment losses, you can use FINRA’s free resources in addition to speaking with a securities fraud lawyer about your personal circumstances.

What is FINRA?

FINRA is a quasi-governmental entity that works alongside the U.S. Securities and Exchange Commission (SEC) to regulate the retail investment market in the United States. In addition to overseeing and enforcing the federal broker registration requirements, FINRA also provides an arbitration forum for resolving investment fraud claims. Access to FINRA arbitration is crucial for investors, as it provides an efficient forum for those who have suffered fraudulent losses to seek to recoup their damages.

FINRA’s Investor Tools and Resources

Here is an overview of some of the tools and resources for investors that are available from FINRA:

1. FINRA BrokerCheck

FINRA BrokerCheck is not new, but it is a critical resource for investors. This tool allows investors to research their brokers (before or after utilizing their services), and to learn if they have any pending or prior complaints. You can also confirm a broker’s registration through FINRA BrokerCheck, and you can see their years of experience as well.

2. Choosing an Investment Professional

Do you know the difference between a broker and an investment advisor? If not, you should learn the difference before you invest. FINRA’s resource, Choosing an Investment Professional, provides explanations of these and other roles.

3. Key Investing Concepts

What factors should you consider before you invest? While your broker or advisor should help you make informed investment decisions based on your personal investment profile, this does not always happen. As an investor, it is important for you to learn as much as you can so that you can make smart decisions—and so that you can know when something goes wrong. FINRA’s Key Investing Concepts is a good place to start.

4. Types of Investments

As securities fraud lawyers, we routinely speak with individuals who have lost money in investments that they did not fully understand. Unfortunately, unscrupulous brokers and advisors will often take advantage of investors’ lack of knowledge in order to sell them high-risk investments. For an overview of some of the primary options that are available, you can read FINRA’s Types of Investments.

5. Protect Your Money

As an investor, it is important that you do everything you can to protect your investments—and this includes contacting a securities fraud lawyer when something goes wrong. For additional tips, you read the resources available here: Protect Your Money.

Speak with a Securities Fraud Lawyer at Zamansky LLC

Zamansky LLC is a securities fraud law firm that represents individual investors in FINRA arbitration. If you have lost money in your portfolio and suspect broker or investment advisor fraud, we encourage you to call 212-742-1414 or contact us online for a free consultation.

Client Reviews

“Jake Zamasky and his colleagues represented me in a FINRA arbitration case against a large multinational bank and succeeded in obtaining an award for the full amount of my investment losses. I would highly recommend the Zamansky firm for their experience in securities litigation, their level of detailed research and case preparation, and their ability to effectively fight for what’s right.”

Richard R.

“Throughout my entire case, Jake Zamansky was incredibly responsive and spent time walking me through each step of the process. He is professional and worked with my challenging schedule, even meeting with me nights and on weekends. He knew exactly which turn to take when it came to my case and yet was respectful of any decisions I wanted to make resulting in a positive outcome.”

Donald A.

“Jake Zamansky and his firm represented me in a FINRA arbitration case to recover investment losses. Jake and his team were very professional and worked very hard preparing for trial and then reaching a substantial settlement of our case. I would highly recommend them.”

William E.

“Jake Zamansky represented me in a FINRA arbitration case which allowed me to recover a substantial portion of investment losses. He is truly an expert in this space and I would highly recommend him to those investors who may have been been a victim of investment fraud.”

Chris K.

“Jake and his team did a great job communicating with me throughout the process of my lawsuit. I would recommend him to anyone looking to sue UBS for unethical practices.”

Mike A.
View More