Ryan Bakhtiari has been invited to participate as a speaker at the 2014 FINRA Annual Conference program on Monday, May 19, 2014 titled “Arbitration, Expungement and Arbitrator Disclosure.”
The FINRA Annual Conference is held between May 19, 2014 and May 21, 2014 at the Renaissance Washington, DC Hotel. The conference brings together legal and compliance professionals, with securities industry regulators to discuss regulatory priorities and practical compliance solutions.
This year’s conference features more than 30 sessions, many of which are geared toward attorneys, including:
- Arbitration, Expungement and Arbitrator Disclosure
- Enforcement Developments
- Ethics and Professional Responsibility for Securities Attorneys
The firm is an “AV” rated law firm with a worldwide practice representing individuals and institutions in disputes with Wall Street and the financial services industry. Attorneys for the firm regularly appear before the Financial Industry Regulatory Authority (FINRA) as well as in numerous state and federal courts to resolve financial disputes between customers, employees, banks, brokerage firms, insurance companies and other members of the financial services industry.
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization overseeing U.S. broker-dealers. It aims to protect investors by ensuring the securities industry operates fairly and honestly. FINRA writes and enforces rules governing broker-dealers, examines firms for compliance, and fosters market transparency. Additionally, it educates investors and provides dispute resolution services. By maintaining a robust regulatory framework, FINRA helps maintain market integrity and investor confidence. Broker-dealers and their registered representatives must adhere to FINRA’s standards, ensuring ethical conduct and financial responsibility in the securities industry.