ADF Operations receives and posts Denial of Access Notifications, pursuant to Rule 4300A(a)(6) to ensure that securities firms have adequate time to make other routing or access arrangements, if necessary.
FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
(a) A member shall make available to inspection by any bona fide regular customer, upon request, the information relative to such member's financial condition as disclosed in its most recent balance sheet prepared either in accordance with such member's usual practice or as required by any state or federal securities laws, or any rule or regulation thereunder. In lieu of making such
It’s important to keep your guard up and educate yourself about the red flags of fraud and how to protect yourself. Learning to recognize scammers’ techniques can be your best defense.
