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On May 31, 2024, an Acceptance, Waiver, and Consent (AWC) was issued, barring Ronald Harland Berg from association with any FINRA member in all capacities. The action was taken due to Berg’s refusal to provide information and documents requested by FINRA during its examination of his recommendations to senior customers regarding private offerings and his […]
Navigating a FINRA regulatory case can be a daunting task. The complexities of the financial industry and the regulatory framework can often seem overwhelming. This article aims to guide you through the process. It provides actionable insights and strategies to help you win your FINRA regulatory case. Whether you’re a financial professional, broker-dealer, or legal […]
Financial advisors, compliance officers, and small business owners need to understand the intricacies of FINRA Rules 3270 and 2010 to navigate and manage outside business activities (OBAs) effectively. This guide provides a comprehensive overview of these rules, their implications, and the best practices for compliance. Overview of Outside Business Activities Definition of Outside Business Activities […]
Regulation SP, often called Reg SP, is a crucial rule for stockbrokers, financial advisors, and investors. Stockbrokers need to follow Regulation SP to protect customers’ personal information. It helps keep data safe and builds trust in the financial industry. Explanation of Regulation SP and Why Regulation SP Matters Regulation SP, set by the SEC, protects […]
Bakhtiari & Harrison is an “AV” rated law firm, focused on the worldwide representation of clients in complex arbitration, litigation, and related legal services in matters involving the securities industry. The firm’s partners have extensive experience in securities, employment, and regulatory matters. Our focus is on delivering strategic and creative client-centric solutions. We represent individuals […]