Investors can better prepare themselves to make an informed investment decision through contacting the Division to determine if the representative and firm with whom they would like to do business are properly registered in Mississippi. You may also search for an agent/representative’s education, past employment, and any disciplinary history through BrokerCheck and IAPD. The below links are other good resources to help learn about investing, protect your money, and beware of common scams.
FINRA BrokerCheck
Research Brokers, Brokerage Firms, Investment Adviser Representatives and Investment Adviser Firms.
FINRA Disciplinary Actions Online Database
FINRA Disciplinary Actions Online Database will allow you to conduct a search for FINRA disciplinary actions that were issued during 2005 or later and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.