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Are there ways to review the background of a broker or a brokerage house?

April 26, 2017background broker brokerage House review

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Are there ways to review the background of a broker or a brokerage house?

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Yes, the National Association of Securities Dealers (“NASD”) has information about the disciplinary history and lawsuits filed against brokers and brokerage houses in the securities field [pdpi.nasdr.com/PDPI] and the National Futures Association (“NFA”) has the same information for commodity futures brokerage houses and brokers [www.nfa.futures.org].