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Questions Answered by Joel Ewusiak
2 Answers | Asked in Stockbroker Fraud for New York on
Q: If I feel like my broker is making trades that aren't in my best interest, can I request that my account be audited by a

neutral third party?

Joel Ewusiak
Joel Ewusiak
answered on May 1, 2017

Most likely, your current securities broker and brokerage firm will not send your account to a third party for an audit, if you make such a request. However, you may independently consult with another securities broker or lawyer to get an opinion on whether the trades are suitable in light of your... Read more »

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1 Answer | Asked in Securities Law for Illinois on
Q: What's the best way to check a broker's credentials?
Joel Ewusiak
Joel Ewusiak
answered on Apr 28, 2017

For free, FINRA Broker Check is your best bet. The report will show education, employment, and complaint history for licensed brokers:

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