California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Broker Misrepresentation
Brokerage Firms Sued
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Are you a new client?
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available

FINRA upgraded its BrokerCheck technology over the Veterans Day weekend, making it easier for the investing public to view detailed record information about brokers and other professionals registered with FINRA, the SEC, or state securities regulators.

The upgrades allow investors to search both the BrokerCheck and Investment Adviser Public Disclosure (IAPD) databases directly from the FINRA BrokerCheck homepage located at; alternately, investors can call (800) 289-9999 to access the BrokerCheck hotline via telephone.

Upgrades to BrokerCheck include a new visual display that features a graphical timeline of a broker or firm's history in the securities industry, including their registration, certification and testing activity as well as reportable events such as customer disputes or disciplinary/regulatory actions.

For instance, underneath a new "Broker Summary" pane, viewers are able to quickly and plainly see whether a broker is currently licensed and whether a broker has any disclosure events. The graphical timeline allows investors to see not just how long a broker has worked in the securities industry, but whether disclosure events, if any exist, have been concentrated around a certain period of time—for instance, a cluster of recent events versus disclosures which occurred many years ago.

FINRA also announced that it plans to develop and make a new BrokerCheck widget available to third parties, designed for use with the BrokerCheck system. This means that in the future, investors may be able to access BrokerCheck directly from and without leaving a third party website.

Now is a perfect time to explore the new and enhanced FINRA BrokerCheck and look up firms or brokers that matter to you. If you have invested with a broker or firm who has misrepresented his or her disciplinary or registration history and such omissions or false statements have led to events that have adversely affected your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

News: FINRA Releases Enhanced Version of BrokerCheck (FINRA Press Release)

The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.