Resources to Keep You Informed

At Goodman & Nekvasil we believe that a key to protecting against investment fraud is approaching your finances as an informed consumer.

We have included extensive resources on our website to aid in this process, but, if you want to do more research, the following resources can provide more information to help you avoid stockbroker fraud. This list includes not only consumer protection and regulatory resources but also news and market updates where you may be able to track your own investments. Be in the know so that you can avoid securities fraud and FINRA arbitration.

• The American Association of Individual Investors (AAII) supplies educational resources for investors, including materials on financial planning and model portfolios.
• Bloomberg is a news and information service that includes coverage of business and investment news.
• CNBC provides real-time market updates, business and investment news, and stock quotes.
• The Financial Industry Regulatory Authority (FINRA) regulates securities firms in the United States. FINRA’s mission is to “protect investors and market integrity through effective and efficient regulation of the United States securities industry.”
• FINRA Arbitration and Mediation has more information about FINRA’s dispute resolution forum, which is the largest in the securities industry. This site includes information on arbitration and mediation methods, rules, and fees.
• FINRA BrokerCheck is a free search engine provided by FINRA for investors to learn more about the professional history of their brokers and investment advisors.
• Google Finance includes live market updates and quotes, as well as investment news and personalized portfolio tracking.
• Investor Links is a free investor resource that includes a directory of links to thousands of financial websites.
• The Investor’s Clearinghouse is a comprehensive site run by the Alliance for Investor Education (AIE) that has educational resources for investors of all ages.
• MSN Money provides market updates, news and advice, and personalized stock tracking.
• North American Securities Administrators Association (NASAA) is an organization of state securities regulators devoted to investor protection. Their site has educational resources, regulatory and advocacy updates, and methods for contacting securities administrators.
• The NASAA Fraud Center helps investors identify and avoid investment fraud & securities fraud.
• The NASAA Member Representative List has a list of state regulators with information on how investors may contact them.
• The New York Stock Exchange (NYSE) includes searchable stock listings, company and market information, and live stock quotes.
• United States Securities and Exchange Commission (SEC) includes searchable company filings, assistance filing complaints or submitting tips, and current financial news and resources.
• The United States SEC Litigation Releases section of the SEC site lists litigation releases covering recent civil lawsuits brought by the SEC in federal court.
• The Wall Street Journal includes sections covering business and investment news, as well as market updates and real-time quotes.
• Yahoo! Finance provides company information, business and investment news, and personalized portfolio quotes.