BrokerCheck - Securities & Going Public Lawyers

BrokerCheck Announces PR Campaign

On June 1, 2015, the Financial Industry Regulatory Authority (FINRA) announced that it had launched a campaign promoting BrokerCheck (brokercheck.finra.org). BrokerCheck allows investors to access information about a broker’s employment history, certifications and licenses, as well as regulatory… Read More

FINRA Expels John Thomas Financial & Bars Tommy Belesis

On January 9, 2015, The Financial Industry Regulatory Authority (“FINRA”) announced that a hearing panel expelled John Thomas Financial, and barred its Chief Executive Officer, Anastasios “Tommy” or “Thomas”) Belesis, from the securities industry for violations in connection… Read More

Why BrokerCheck is Flawed – Going Public Lawyer

Securities Law Blog The Financial Industry Regulatory Authority’s BrokerCheck is a free tool available to the public that provides some information about the professional backgrounds of brokerage firms and brokers currently or formerly registered with FINRA or a… Read More

Transparency Bootcamp – Custodianship Disclosures In Reverse Mergers

Securities Lawyer 101 Blog Recently custodianship and/or receivership proceedings involving publicly traded companies have been in the spotlight because of the increasing number of fraudsters seeking these appointments so that they can create their own personal inventory of… Read More

Transparency Bootcamp – BrokerCheck 101 By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog Any investor seeking to find out information about a penny stock should begin by investigating management, brokers and the promoters involved with the issuer.  FINRA BrokerCheck provides a free online database about brokers and… Read More