Our reports are produced through a consistent research methodology built around public regulatory data and court filings. The goal is to give investors a clear, factual picture of disclosed complaints, disciplinary events, and other risk factors tied to financial advisors and firms.
Data sources
- FINRA BrokerCheck
- SEC Investment Adviser Public Disclosure
- State securities regulator enforcement databases
- Court records and FINRA arbitration awards
- Firm ADV disclosure documents
Selection criteria
We prioritize advisors and firms with recent or repeated customer disputes, regulatory actions, or other disclosures that investors should know about before choosing or retaining a financial professional.
How we report
Each article identifies the advisor, firm, relevant regulatory identifiers, a summary of the allegations or findings, and links to the underlying public records. We do not add commentary beyond what the records support.
Updates and corrections
Articles are reviewed periodically and updated when new disclosures become available. Substantive corrections are dated and noted in the article body.