Blog
August 24, 2024
California FINRA stockbroker employment lawyers at Bakhtiari & Harrison assist in navigating the world of employment related disputes which at times can be complex. Especially when disputes arise, the legal and regulatory landscape can seem daunting. The Financial Industry Regulatory Authority, or FINRA, plays a crucial role in this landscape. It regulates stockbroker employment and registration, […]
July 31, 2024
At Bakhtiari & Harrison, we understand that buying a stockbroker’s book of business is a significant investment that requires thorough due diligence. Ensuring the purchase is a good fit involves evaluating various client factors contributing to the stockbroker’s book of business. Vital Aspects of Purchasing a Stockbroker’s Book of Business Review Client Files, Monthly Statements, […]
July 29, 2024
At Bakhtiari & Harrison, we are committed to fighting for justice and equality in the financial industry. Our firm focuses on representing female financial advisors who have experienced harassment and discrimination by their broker-dealers. We understand the unique challenges women face in this field and are dedicated to ensuring that their rights are protected and […]
July 21, 2024
In the high-stakes world of finance, a single blemish on your record can significantly hinder your career. The FINRA (Financial Industry Regulatory Authority) oversees the integrity of market professionals, and under its auspices, the Rule 2080 process allows for the expungement of unjust marks on a broker’s record. Bakhtiari & Harrison focuses on securities arbitration […]
May 27, 2024
In the world of investment advisory, the relationships between Registered Investment Advisors (RIAs) and their clients are governed by a series of complex and highly detailed agreements. These documents outline everything from investment objectives to risk tolerance and time horizons, serving as the foundation for the fiduciary relationship between advisors and their clients. Ensuring these […]