Utah Investment Fraud Database
Individuals and businesses on this database may have pending appeal rights.
FINRA Broker Check
A great tool for verifying that the person or firm making you an investment offer is properly licensed and free of previous disciplinary actions. FINRA Broker Check is a national securities broker-dealer database that can be used to verify a license, check previous investor complaints against an licensed individual or firm, and search for previous regulatory actions.
S.E.C. Investment Adviser Public Disclosure
Check the disciplinary history of the person providing your investment advice. Investment Adviser Public Disclosure (IAPD) is a national database hosted by the Securities and Exchange Commission (SEC) that can be used to verify a license, check previous investor complaints against an licensed individual or firm, and search for previous regulatory actions.
Buyer Beware List
Individuals and businesses on this list may have pending appeal rights.
Disciplinary Action: Real Estate and Appraisal
Individuals and businesses on this list may have pending appeal rights.
Licensee Lookup and Disciplinary Action: Mortgage
Verify the person you hire is licensed to perform your job.
Disciplinary Action: Other Professions
Individuals and businesses on this list may have pending appeal rights.