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In January 2024, LPL Financial was fined $5.5 million by FINRA and ordered to pay over $650,000 in restitution to customers for several supervisory failures and sales violations. These issues included LPL allowing unsuitable trades and charging excessive fees without proper oversight. This is only the latest in a long line of regulatory actions against […]
Stock fraud happens when people use dishonest tactics in the stock market. They deceive investors or manipulate prices to make money for themselves. This is illegal and can have serious effects on both individual investors and the entire financial market. At its core, stock fraud usually involves lying, using inside information, or tricking investors in […]
In the fast-paced and high-stakes world of Hollywood, financial security is paramount. Unfortunately, even the most successful entertainers and executives can fall victim to unscrupulous stockbrokers who mismanage investments or engage in fraud. When this happens, it’s essential to have the correct legal team on your side—one that understands the unique needs of the entertainment […]
In today’s digital age, transparency in the financial industry is crucial. Investors have unprecedented access to detailed information about brokers through platforms like FINRA’s BrokerCheck. This level of transparency helps maintain trust between investors and financial professionals. However, it can also harm brokers who face unfounded allegations. At Bakhtiari & Harrison, we understand the importance […]
Bakhtiari & Harrison is a premiere nationwide securities law firm representing high net-worth individuals due to mismanagement of their investment portfolios. This firm represents athletes, actors, wealthy professionals, entrepreneurs, and financial advisors. Their main office is in Beverly Hills, California, and they have built a strong reputation for being reliable and trustworthy. Mission and Values […]