Blog
August 4, 2024
Going up against The Financial Industry Regulatory Authority (FINRA) for allegations of rules violations can be daunting. As a self-regulatory organization, FINRA oversees brokerage firms and their registered representatives. It enforces rules and regulations to ensure market integrity and investor protection. When FINRA suspects a violation, it initiates an investigation. This can lead to enforcement […]
August 1, 2024
Selecting the right arbitrators in FINRA arbitration is a critical component of ensuring a fair and favorable outcome for clients involved in disputes with brokerage firms. At Bakhtiari & Harrison, we understand the intricacies of the arbitrator selection process and the impact it can have on arbitration claims. Our meticulous approach to selecting arbitrators helps […]
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 30, 2024
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 […]
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 […]
