Gaffar Chowdhury Fired by Park Avenue Securities
Gaffar Chowdhury (CRD #: 5510373) was terminated by Park Avenue Securities, according to his BrokerCheck record, accessed on August 4, 2023. Investors may have engaged his services via Financial Growth Partners. For more detail surrounding his termination, keep reading.
On June 29, 2023, Gaffar Chowdhury was terminated following allegations that he failed to follow his firm’s policies regarding social media use. The firm does not specify which aspect of the firm’s social media policy he violated, but investors should know that FINRA Rule 3110 requires firms to supervise their registered representatives to ensure compliance with securities rules and regulations.
FINRA Rule 3110
Failure to supervise violates FINRA Rule 3110, which requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must also ensure that supervisory personnel have the training or experience necessary for their role.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of social media policies may violate this rule.
Gaffar Chowdhury has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He has only ever registered with Park Avenue Securities (CRD #: 46173).
Kurta Law Can Help
If you worked with Gaffar Chowdhury and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
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