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Lost Money in Your Brokerage Account? Why a Failure to Supervise by the Firm May Be the Real Culprit

You did everything right. You worked hard, saved diligently, and entrusted your future to a financial advisor and their brokerage firm. You envisioned a secure retirement, a college fund for your children, and the financial freedom you deserved. But now, as you scrutinize your account statements, a cold dread comes over you. The numbers don’t […]

The Critical Role of Supervision In Overseeing Your Stockbrokerage Account

As an investor, it is crucial to ensure that your brokerage firm is diligently overseeing your account. Effective supervision of registered representatives is essential to safeguarding your investments and ensuring compliance with applicable securities laws. At Bakhtiari & Harrison, we understand the critical role that proper supervision plays in the securities industry, and we are […]