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In the world of finance, the allure of venturing into outside business activities (OBAs) can be as appealing as it is challenging. Such activities can range from part-time gigs to entrepreneurial ventures, often pursued with the hope of expanding income streams and skill sets. Yet, these endeavors walk a thin line, requiring steadfast adherence to […]
Understanding the Unique World of Securities Law At Bakhtiari & Harrison, we frequently encounter individuals and firms facing complex challenges within the financial services industry. A question that often arises, and one that underscores the specialized nature of our practice, is: “What is a FINRA attorney?” This position extends beyond a simple legal designation; it […]
If you believe your stockbroker defrauded you, you may wonder if hiring an attorney for FINRA arbitration is necessary. At Bakhtiari & Harrison, we focus on helping investors recover their losses through securities arbitration. What is FINRA Arbitration? FINRA arbitration allows investors to resolve disputes with brokers or brokerage firms without going to court. The […]
When dealing with financial markets, the concept of “best execution” is paramount for broker-dealers and is mandated by regulatory authorities like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). This delves into the intricate details of the best execution obligation, examining its definition, practical application, various examples, and answering frequently […]
FINRA arbitration is a process used to resolve disputes in the securities industry, especially between investors and brokers. FINRA is an organization that monitors brokers and helps resolve disputes without needing to go to court. It is quicker and less expensive than a regular lawsuit. This makes it a popular choice for many people in […]