Skip to main content

Is there any way I can see if there have been disciplinary actions against my broker?

You can usually check if there has been an order of disciplinary action against a broker by checking with the appropriate state regulator .

Was this answer helpful to you?

Please do not share any personally identifiable information (PII), including, but not limited to: your name, address, phone number, email address, Social Security number, account information, or any other information of a sensitive nature.