At Bakhtiari & Harrison, we understand the importance of trust when it comes to your financial future. Our firm, proudly AV rated, represents high net worth individuals who have been defrauded in securities matters. With a steadfast commitment to our clients and a thorough understanding of the complex financial landscape, we stand ready to defend […]
In the complex world of securities and investments, navigating the legal landscape requires particular knowledge and expertise. At Bakhtiari & Harrison, our team of seasoned attorneys provides comprehensive legal representation in matters involving securities fraud, regulatory investigations, broker-dealer disputes, and more. Whether you’re dealing with issues before the Financial Industry Regulatory Authority (FINRA) or the […]
When a stockbroker decides to sell their book of business, it is often due to retirement or a shift in career focus. Conversely, a financial advisor may look to purchase a book of business to expand their client base and grow their practice. Bakhtiari & Harrison represent and guide stockbrokers and financial advisors in these […]
Ensuring compliance with securities laws and regulations is a fundamental aspect of operating within the financial industry. This was starkly highlighted by the recent $6.5 million fine imposed on Credit Suisse’s U.S.-based securities business by the U.S. Financial Industry Regulatory Authority (FINRA) and major exchanges. This penalty underscores the importance of establishing robust supervisory systems […]
The Hidden Risks of Promissory Notes: What Every Investor Should Know Promissory notes can seem like a straightforward and attractive alternative to traditional investments like stocks and bonds. However, they are not without significant risks, and scams involving promissory notes have defrauded investors of hundreds of millions of dollars. While some promissory notes are legitimate […]