FINRA Public Disclosure Program

Pursuant to Financial Industry Regulatory Authority (“FINRA”) Rule 2267, please be advised of the following:

As part of its Public Disclosure Program, FINRA offers the following toll-free telephone listing which affords you the opportunity to check for any disciplinary history of its members (brokerage firms which belong to the FINRA) and their associated persons (stock brokers and traders employed by FINRA members): 1-800-289-9999.
FINRA maintains the following website which provides a wealth of information including recent developments such as rule changes and press releases, how to resolve disputes and disclosure of recent disciplinary matters: FINRA.org.
An investor brochure is available that includes information describing the FINRA’s Public Disclosure Program. Availability of the brochure will be made through either the “800” toll free number or the FINRA website.

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If you have any questions about this policy, please write, call, or email us.

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