what if my broker has complaints listed on brokercheck 
brokers are required to notify finra of customer complaints that allege misconduct related to the sale of financial products even if the allegations are without merit it is advisable to consider how many complaints the broker has received over what period and whether the claim alleges specific acts of misconduct by the broker like unauthorized trading or the unexpected failed investment product a broker is allowed to provide comments and the investor should review those comments on the nature of the complaint an investor can also ask the firm broker or the firm s compliance department about the complaint 1