Free Consultation:
(800) 382-7969
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, […]
The Financial Industry Regulatory Authority (FINRA) Rule 2111 is a pivotal regulation designed to ensure that financial advisors recommend suitable investments to their clients. This article delves into the intricacies of Rule 2111, analyzing its implications for the securities industry, and providing a comprehensive overview for investors and professionals alike. Introduction to FINRA Rule 2111 […]
Securities law is a critical field for aspiring lawyers, financial professionals, and small business owners. Understanding and mastering securities law can help you navigate the complex world of financial markets, protect investors, and ensure compliance with regulations. In this blog, we’ll explore seven straightforward steps to becoming a master of securities law, breaking down complex […]
Investing in the stock market can be rewarding, offering the potential for substantial returns and long-term financial security. However, when things go wrong due to the actions or inactions of a stockbroker or financial advisor, it can lead to significant financial losses and emotional distress. If you find yourself in such a situation, you might […]
The Department of Labor timeline for releasing the proposal for an expanded fiduciary duty for advisors who work with retirement plans has been delayed. Speaking at the Financial Services Institute’s Financial Advisor Summit, Phyllis Borzi, the Labor Department’s assistant secretary for the Employee Benefit Security Administration, said that her agency is continuing to revise its proposal, and that […]