Priya Panse (CRD #7237209) Has an Employment Separation Disclosure on FINRA BrokerCheck

Priya Panse (CRD #7237209) was previously registered with BlackRock Investments, LLC. We reviewed her BrokerCheck report on February 9, 2026. It reflects one termination disclosure. If you worked with Priya Panse and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation

Priya Panse’s FINRA BrokerCheck report reflects one employment separation disclosure. A summary is below:

According to Priya Panse’s FINRA BrokerCheck report, BlackRock reported that on December 17, 2025, she voluntarily resigned after an internal review related to expense submission standards. The firm stated that she acknowledged submitting computer-generated receipts for certain expenses rather than the original receipts required under firm standards. The firm also stated that its review did not find any instances where the computer-generated receipts were inaccurate.

Rule Summary #1: FINRA Rule 4511 (General Requirements)

FINRA Rule 4511 covers basic recordkeeping duties for broker-dealers. It requires firms to make and preserve required books and records. Issues involving receipts can raise questions about whether documentation was kept properly. Read FINRA Rule 4511.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. A firm’s report about a resignation following compliance concerns may also implicate broader professional conduct expectations. Read FINRA Rule 2010.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on Her FINRA BrokerCheck report, Priya Panse:

Was previously registered with BlackRock Investments, LLC from June 2020 to December 2025.

Has passed the Securities Industry Essentials (SIE), Series 7TO, and Series 63.

Has reported the professional designation Chartered Financial Analyst (CFA).

Kurta Law Can Help

If you have worked with Priya Panse and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Breach of Fiduciary Duty | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.