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In the world of finance, rules and regulations are the backbone of ethical practices. The Financial Industry Regulatory Authority’s (FINRA) Rule 3280 is one such regulation. This rule addresses the concept of “selling away” or engaging in private securities transactions. Understanding and adhering to this rule is crucial for financial advisors. It helps maintain the […]
Going up against The Financial Industry Regulatory Authority (FINRA) for allegations of rules violations can be daunting. As a self-regulatory organization, FINRA oversees brokerage firms and their registered representatives. It enforces rules and regulations to ensure market integrity and investor protection. When FINRA suspects a violation, it initiates an investigation. This can lead to enforcement […]
Investing carries inherent risks, and while market fluctuations can impact account performance, incorrect investment strategies or improper management can lead to unnecessary losses. At Bakhtiari & Harrison, we excel in performing detailed profit and loss analyses to evaluate a customer’s account. Our objective is to determine how the account would have performed if invested correctly, […]
In the world of finance, reputation is everything. For financial professionals, maintaining a clean record is not just a matter of pride. It’s a necessity. This is where the Financial Industry Regulatory Authority, or FINRA, comes into play. FINRA is a non-governmental organization that regulates member brokerage firms and exchange markets. It maintains a system […]
Investing yourself in the stock market can be a challenging task. The risk of making unsuitable investments is a reality many face. Centaurus Financial, Inc., a notable player in the financial industry, is no stranger to this issue. The firm has been involved in disputes over unsuitable investments. This article aims to shed light on […]