- IW database search, including actions not reported by the Financial Industry Regulatory Authority (FINRA)
- Report whether there are customer and/or regulator complaints about the broker
- Summary of the broker’s recent employment history
- IW Broker Safety Score
BROKERSNAPSHOT® Report
A BrokerSnapshot® report provides basic protection against a stockbroker with a history of customer abuse. For $49, you can learn if there are any customer complaints or regulatory actions against a stockbroker you are currently using or considering using, including actions not reported by the Financial Industry Regulatory Authority (FINRA). Your BrokerSnapshot report also includes IW’s Broker Safety Score. We calculate our proprietary Broker Safety Score (ranging from 40 to 80) by applying our U.S. Securities and Exchange Commission (SEC) Enforcement Division experience to a review of the broker’s education, employment, disciplinary history, licensing, and other background information.
To gain more insight into IW’s findings, you can upgrade to a comprehensive BrokerSnapshot report within 30 days of your initial order. The detailed report ($199) includes specifics of customer complaints, regulatory actions, employment, licensing, disciplinary history, bankruptcies, judgments, lawsuits, and other factors that were significant in calculating the IW Broker Safety Score.
PRICE (discounts on multiple orders)
$49 summary report
$199 comprehensive report
ORDER | GET MORE INFORMATION
Call 1-866-423-WDOG (9364) to speak with Katie Rouse to order or to get more information.
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