![]() ![]() Order Entered - Other Regulatory Agencies The SEC or CFTC has previously entered an order against this firm or an advisory affiliate in connection with an investment-related activity. In the past ten years, firm or an advisory affiliate has been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses.įirm or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC. In the past ten years, firm or an advisory affiliate has been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a felony. ![]() In the past 10 years, a domestic or foreign court has issued an injunction against the firm or an advisory affiliate in connection with an investment-related activity.įirm or an advisory affiliate was previously found to have made false statements or omissions by a self-regulatory organization.įirm or an advisory affiliate was previously found to have made false statements or omissions by the SEC or CFTC.įalse Statements or Omissions - Other Regulatory Agenciesįirm or an advisory affiliate was previously found to have made false statements, omissions, or being dishonest and unfair by a regulatory agency other than the SEC or CFTC. The SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked.īusiness License Revocation - Other Regulatory AgenciesĪ regulatory agency other than the SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked.įirm or an advisory affiliate has previously had an investment-related civil action dismissed against them following a cash settlement in court. What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?Īttorney/Accountant Authorization Revocationįirm or an advisory affiliate has previously had their authorization to act as an attorney, accountant, or federal contractor revoked or suspended.Ī Self-Regulatory Organization has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked. doneMeet the Team doneWhy Trust Us doneAbout Us doneMedia doneOrigin Storyįirm or one of its employees previously has been subject to a suspension or expulsion or other restriction of activities by a Self-Regulating Organization or commodities exchange.Traditional IRA Personal Finance Education Planning for Retirement How Much Should I Save for Retirement Best Retirement Accounts.Investing for Retirement Should I Hire a Financial Advisor? Where to Invest $100, $1,000 or More Personal Finance Education.account_balance Best High-Yield Savings Accounts How to Invest Investing vs.How We Rate 17,000+ Firms Our Consumer Advocacy Mission Personal Finance Education.groups Find a Financial Advisor What Does a Financial Advisor Do? Types of Financial Advisors What's a Fiduciary?.How to Check Your Credit Score How to Improve Your Credit Score How to Get Out of Debt Personal Finance Education.calculate Credit Card Rewards Calculator calculate Business Card Rewards Calculator credit_card Best Cashback Credit Cards credit_card Best Business Credit Cards credit_card Credit Card Reviews. ![]() Internal applications, then our B2B based Bizapedia Pro API™ might be the answer for you. If you are looking for something more than a web based search utility and need to automate company and officer searches from within your WHAT'S INCLUDED IN THE ADVANCED SEARCH FORM? Utilize our advanced search form to filter the search results by Company Name, City, State, Postal Code, Filing Jurisdiction, Entity Type, Registered Agent,įile Number, Filing Status, and Business Category. While logged in and authenticated, you will not be asked to solve any complicated Recaptcha V2 challenges. In addition, all pages on Bizapedia will be served to you completely ad freeĪnd you will be granted access to view every profile in its entirety, even if the company chooses to hide the private information on their profile from the general public. Your entire office will be able to use your search subscription.
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