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Investor Help Guide
No one is born knowing how to spot a bad broker or bad investment advice. But all investors can learn to protect themselves. We encourage you to study up on securities-industry rules and protocols before signing on with any investment advisor. To make learning less cumbersome, we summarize some key investor protection guidelines here, in plain English. And we provide a directory of reliable sources, where you'll find in-depth coverage of these topics.
Topics To Explore
Independent journalists have prepared these reports for investors and their families. Click on a title to read the full article.
How to Make Sense of Acronyms for Financial Advisors
CFA, CFP, ChFC…How Do Consumers Use Acronyms to Choose a Financial Advisor? more
Is my money being handled badly?
Red flags that say your broker or advisor may be negligent. more
by Scott Woolgar
Can I try to get my money back?
What to do if you suspect your money has been mismanaged. more
by Kenneth Honeywell
How to tell a bad broker from a good one.
Know what to ask when hiring an investment advisor. more
by Deborah Duppstadt
How to interview financial advisors.
Looking for someone to handle your investments? Ask ten questions, three times. more
by Scott Woolgar
Links and Resources
Where to find…
General investment education
Your rights as an investor
NASAA - Investor Bill of Rights
News and tips from securities market watchdogs
StockPatrol.com - Investor Resources
Senior investor resource center
NASAA - Senior Investor Resource Center
Broker background check
Securities class action clearing house
Stanford Securities Class Action Clearinghouse
Government Resources, Stock Exchanges and Regulators
- U.S. Securities and Exchange Commission
- Financial Industry Regulatory Authority (FINRA)
- FINRA Code of Arbitration Procedure
- The New York Stock Exchange (NYSE)
- NYSE Help For Individual Investors
- NASDAQ
- National Bureau of Economic Research
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