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Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees, and Discusses Advanced Analytics Strategic Initiative The FINRA Board of Governors convened for their second meeting of the year on May 8-9, 2024. Key decisions and updates included the approval of the 2023 Annual Financial Report, appointment of new Advisory Committee members, and […]
There are over 18 million veterans in the United States, making them prime targets for fraud. Fraudsters often target groups with shared backgrounds and interests, making veterans and their families vulnerable to investment scams. Some scammers may even pretend to be veterans themselves. Recognizing Fraudulent Investment Schemes Investment fraud comes in many forms, with scammers […]
The Financial Industry Regulatory Authority (FINRA) has issued an AWC (Acceptance, Waiver, and Consent) against Juan Carlos Sosa (CRD #4059846), barring him from association with any FINRA member in all capacities. This action comes after Sosa was found to have converted over $331,000 from an elderly customer for his personal use. The case highlights a […]
Bakhtiari & Harrison is currently investigating brokers nationwide who recommended their clients invest in iCap Equity, LLC. This high-risk Regulation D private placement was unsuitable for many investors. iCap Equity, LLC Private Placement Losses Regulation D private placements, like those from iCap Equity, LLC, are often not suitable for conservative and inexperienced investors. Unfortunately, many […]
Investing is a significant financial decision, and choosing the financial advisor is paramount to safeguarding your investments. Due Diligence of Financial Advisors Is a Key First Step in the Hiring Process Due diligence is not just recommended; it is essential in today’s complex financial marketplace. The Financial Industry Regulatory Authority (FINRA) provides a vital due […]