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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 governing selling away 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 […]
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, […]
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 […]
Navigating the aftermath of commodities fraud can be a daunting task. You may feel overwhelmed and unsure of your next steps. It may be difficult to trust anyone after someone managming your life savings has not acted in your best interest. One crucial step is choosing a commodities fraud attorney. This professional can help you […]