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Where to Start Investigating

STATE SECURITIES AGENCY: Listed in the government pages of the phone book, the agency supplies the entire Central Registration Depository (CRD) report, which contains the disciplinary and employment history of all registered brokers.

NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD):; (800 289-9999), 9 a.m. to 5 p.m. EST. Obtain a CRD report for both the broker and brokerage firm. The Web site includes other investor protection information.

NATIONAL COUNCIL OF INDIVIDUAL INVESTORS (NCII): Offers ''How to Check Out a Broker,'' a booklet to help translate the CRD report. Send a self-addressed, stamped envelope and $4 to NCII 1828 L St. NW, Suite 1010, Washington, D.C. 20036.


Updated June 15, 1997 by bwwebmaster
Copyright 1997, Bloomberg L.P.
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