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Rashid Bokhari Subject of Illinois Regulatory Action

Rashid Bokhari (CRD #: 1679170), a broker registered with Transamerica Financial Advisors, is involved in a pending state regulatory action, according to his BrokerCheck record, accessed on April 19, 2023. If you want to know more about his alleged conduct as a broker, read on.

Illinois Regulatory Action

On February 17, 2023, the State of Illinois Secretary of State alleged that Rashid Bokhari owed a debt to the Illinois Department of Revenue. This regulatory action is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Tax Lien

On August 1, 2019, Rashid Bokhari incurred a $15,684 tax lien.

Background Information

Rashid Bokhari 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

Rashid Bokhari is a registered broker in Illinois.

He has also worked for the following firms:

  • World Group Securities (CRD#:114473)
  • Ameritas Investment Corporation (CRD#:14869)
  • Mony Securities Corporation (CRD#:4386)
  • Pruco Securities (CRD#:5685)
  • The Prudential Insurance Company of America (CRD#:680)

Kurta Law Can Help

If you worked with Rashid Bokhari and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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