Tagged: robert ketchum

FINRA Launches Online BrokerCheck Research Tool, But Does It Work?

Early last week the Financial Industry Regulatory Authority (FINRA) rolled out a multi-million dollar ad campaign promoting its online research tool called “BrokerCheck.” BrokerCheck is free online database intended to provide the investing public with an east way to research brokers and investment advisers before… Read More

FINRA to Request Comments on Rules for Crowdfunding

As previously reported, FINRA held a board of Governors meeting today and addressed several important issues.  One of their agenda items was Title III of the Jobs Act which covers crowdfunding. In posting on the FINRA site signed by CEO and Chairman Richard Ketchum, FINRA… Read More

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