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With the prevalence of investment fraud, promptly discovering relevant public record information and/or prohibited investment practices is critical to safeguarding your firm in the long run. Whelan has been a professional investigator for over twenty years. We look forward to hearing from you and will do our best to respond. Contact us to explore guest blogging opportunities on our site.
He is a small business owner and the President of Whelan & Whelan, LLC, a private investigation firm specializing in background checks, due diligence, social media investigations, and business intelligence services.
The organization does, however, encourage firms to conclude all requirements before submitting a Form U4 for registration.
For the verification of Form U4 data obligation, firms are required to conduct a search of “reasonably available public records” to verify the accuracy of information provided by an applicant.
Firms will also be required to make a reasonable effort to review an applicant’s most recent Form U5, which provides information regarding the reason for the termination of a registration with a member firm, for any potential claims regarding investment misconduct or other derogatory activities.