It is important to remember that the National Association of Securities Dealers [NASD] is an association of Brokerage Houses that polices it own members.  Much like the proverbial Fox Guarding the Chicken Coup, the NASD cannot be relied upon to diligently look after the interests of investors, since it is composed of Brokerage Houses, not investors.  Therefore, although the NASD does provide information to investors about its members and stockbrokers, this information may be incomplete or inaccurate.

Please feel free to give us a call at 1-800-306-6010 or contact us online.