Investor Protection Guides
Plain-language guides to help investors evaluate financial advisors, understand regulatory data, and protect themselves from fraud.
These guides are for educational purposes only. Not financial or legal advice. Consult qualified professionals.
How to Vet a Financial Advisor
Reading BrokerCheck Reports
Red Flags in Advisor Records
Understanding FINRA Disclosures
Choosing Between Broker-Dealer Firms
SEC Enforcement Actions Explained
Investment Fraud Warning Signs
Explore Firm Data
Guides provide context. For the raw disciplinary data, explore firms, states, and enforcement actions.
Methodology
Our guides are based on publicly available data from authoritative government sources. All statistics, ratings, and figures cited in these guides are drawn directly from official datasets and publications, with sources clearly referenced throughout.
We aim to present complex government data in plain language that is accessible to general audiences. When methodologies differ between data sources or change over time, we note these variations inline. Our editorial process includes regular reviews to ensure accuracy and timeliness of the information presented.