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Aug 30, 2018 by |

San Francisco and California Elder Abuse and Securities Attorney: Broker Background Checks

ATTORNEY NEWSLETTER

Preventing Fraud and Abusive Practices

Always Check Backgrounds Before You Buy

Hopefully, you already check the backgrounds of any contractors or caregivers or others you let in your home to do work. Checking the background of anyone trying to sell you an investment is equally important!  The Securities and Exchange Commission (SEC) urges you to check broker backgrounds with the search tool available at investor.gov. Our San Francisco and California securities fraud and financial elder abuse attorneys advise you to as well. The lawyers at Evans Law Firm, Inc. represent California consumers, especially seniors, who suffer from fraud and/or financial elder abuse by brokers and financial advisors.  If you or a loved one lives in California and has suffered a loss as a result of financial elder abuse by a stockbroker, insurance agent, or other financial advisor, call us today at (415)441-8669.

The SEC search tool allows you to review any disciplinary or criminal proceedings, regulatory actions, customer complaints, employment terminations, and bankruptcy filings for your broker and the firm he or she represents. Some red flags are:

  • Disciplinary actions by the SEC or Financial Industry Regulatory Authority (FINRA) both of which police the financial industry;
  • A history of customer complaints;
  • Lawsuits and arbitrations brought by customers against the broker; and
  • Employment terminations and expulsions from the securities industry.

Be especially cautious of investing through anyone convicted of a crime. The SEC reports repeated cases of persons with undisclosed criminal history selling investments to unknowing consumers.  A background check can reveal any history the seller is hiding.  In addition to investor.gov you can also get information at SEC Action Lookup – Individuals (SALI) on past SEC proceedings against your broker.  Use all available tools to research any seller before you buy.  If you already have purchased an investment and suffered a loss as a result of fraud, call the securities and financial elder abuse lawyers at Evans Law Firm.

Contact Us

If you or someone you love is the victim of any type of securities fraud or financial elder abuse in California, call the San Francisco and California securities fraud and elder abuse attorneys at Evans Law Firm, Inc. at (415) 441-8669, or by email at <a href=”mailto:info@evanslaw.com”>info@evanslaw.com</a>. Our attorneys have experience with fraud and financial elder abuse cases and complex qui tam or whistleblower cases including offshore tax avoidance cases, complex financial contract cases and cases against large insurance companies. We can help guide your case through a FINRA Arbitration, jury trial or toward an equitable settlement.  We also handle cases involving physical elder abuse, nursing home abuse, whole life insurance and universal life insurance, and indexed, variable, and fixed annuities.

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