Finra inquiry

[Quest28]

Jurisdiction

California

Hi,

I am a Software Engineer at Nutanix. Myself and my husband have a joint stock brokerage account. We bought some stock of Nutanix when it went IPO at 26.50. We sold it during the blackout window for 32, a total of about 1350 stocks. Unfortunately, given the blackout windows are long here, this was a honest mistake that I didn't track them properly and hence made a trade. Today, I got a call from the Legal Department that a FinRa inquiry has come up on my name. Could you please advise if I need to be worried ? I am a hardcore engineer working in Software Development and I have no idea about the Sales scenario or the earnings.

Thanks,
Krishna

 

[army judge]

Could you please advise if I need to be worried ?

No, anytime a regulatory agency comes sniffing and snooping around in your financial affairs, you HIRE an attorney to represent and protect your ASSets and interests.

If you don't HIRE an attorney, no need to worry, because once they're done with you, you won't have much to worry about.