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Investor Protection Resources
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FINRA Investor Protection Resources
As per FINRA Rule 2267, all customers, clients, and investors are permitted to access FINRA's BrokerCheck tool, which provides the public with information on the professional background, business practices, and conduct of FINRA-member firms and their associated persons.
NFA BrokerCheck publishes a free investor brochure that is available by contacting FINRA at the below website, address, telephone number, or facsimile number:
FINRA Regulation, Inc.
P.O. Box 9401
Gaithersburg, Maryland 20898-9401
The FINRA Regulation Website address is: www.finra.org.
The FINRA Regulation Public Disclosure Program publishes an investor brochure that is available by contacting Public Disclosure at the above telephone numbers, address or website www.finra.org.
National Futures Association
The National Futures Association requires that Charles Schwab Futures and Forex LLC furnish clients with the ability to review the firm and its Associated Persons. Please follow this link to the NFA's BASIC (Background Affiliation Status Center) system.