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Securities Fraud Checklist: Your Broker's Background

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As part of the process of deciding who to work with to handle your investments you may consider looking up their background using NASD’s Broker Check. This allows you to find out where your broker is licensed. It also allows you to find out about SOME prior complaints against your broker. It may be all the complaints, but it may not be all the complaints. You may wish to ask your broker about any complaints that show up using this tool, though.