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Investment fraud is a pervasive threat that can shatter dreams and erode hard-earned savings. Whether you are a novice or a seasoned professional, every investor faces the risk of falling victim to this menace. The good news is that you can protect yourself by arming yourself with knowledge, being vigilant, and adopting a proactive approach. […]
The Financial Industry Regulatory Authority (FINRA) plays a crucial role in regulating the activities of financial advisors and brokerage firms in the United States. Your FINRA record can significantly impact your career in the financial industry, influencing your reputation and job prospects. Understanding the importance of this record and how to manage it is essential […]
Regulators are investigating Spartan Capital Securities for investment fraud complaints and FINRA regulators have also taken action. These issues include excessive trading and compliance failures. Bakhtiari & Harrison helps people affected by investment fraud at Spartan Capital Securities. They are focused on guiding clients through the legal process. This blog discusses Spartan Capital Securities and […]
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 […]