In the past ten years, firm or an advisory affiliate has been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses.įirm or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC. In the past ten years, firm or an advisory affiliate has been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a felony. In the past 10 years, a domestic or foreign court has issued an injunction against the firm or an advisory affiliate in connection with an investment-related activity.įirm or an advisory affiliate was previously found to have made false statements or omissions by a self-regulatory organization.įirm or an advisory affiliate was previously found to have made false statements or omissions by the SEC or CFTC.įalse Statements or Omissions - Other Regulatory Agenciesįirm or an advisory affiliate was previously found to have made false statements, omissions, or being dishonest and unfair by a regulatory agency other than the SEC or CFTC. The SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked.īusiness License Revocation - Other Regulatory AgenciesĪ regulatory agency other than the SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked.įirm or an advisory affiliate has previously had an investment-related civil action dismissed against them following a cash settlement in court. What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?Īttorney/Accountant Authorization Revocationįirm or an advisory affiliate has previously had their authorization to act as an attorney, accountant, or federal contractor revoked or suspended.Ī Self-Regulatory Organization has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked. doneHow We Make Money doneOrigin Story doneOur Policy on AI doneMediaįirm or one of its employees previously has been subject to a suspension or expulsion or other restriction of activities by a Self-Regulating Organization or commodities exchange.doneAbout Us doneMeet the Team doneWhy Trust Us doneHow We Test.Traditional IRA How to Get Out of Debt Investing for Retirement Personal Finance Education Planning for Retirement How Much Should I Save for Retirement Best Retirement Accounts IRA vs.Should I Hire a Financial Advisor? Where to Invest $100, $1,000 or More The 14 Stages of Investor Emotions Learn Stock Trading 5 Steps to Start Investing.Trading Top 5 Investing Concepts 20 Best Stock Trading Books account_balance Best High-Yield Savings Accounts How to Invest Investing vs.8 Best Free Stock Screeners 10 Reasons to Avoid Day Trading 25 Best Long ETFs (Bullish ETFs) 41 Best Inverse (Bearish) ETFs Stock Education Articles.Free Trading Journal Spreadsheet 5 Best Online Stock Brokers How to Read a Stock Chart 5 Best Free Stock Chart Websites 6 Best Trading Journals.How We Rate 17,000+ Firms Our Consumer Advocacy Mission Personal Finance Education.groups Find a Financial Advisor What Does a Financial Advisor Do? Types of Financial Advisors What's a Fiduciary?.credit_cardBest Dining Credit Cards credit_cardBest Gas Credit Cards credit_cardBest Flat Rate Credit Cards credit_cardHow to Check Your Credit Score credit_cardHow to Improve Your Credit Score.calculate Credit Card Rewards Calculator calculate Business Card Rewards Calculator credit_card Best Cashback Credit Cards credit_card Best Business Credit Cards credit_card All Credit Card Coverage.
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