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As a doctor, your primary focus is on your patients and providing the best possible care. Whether you’re a general practitioner, a specialist, or a surgeon, your day-to-day responsibilities are demanding and time-consuming. Given the nature of your profession, it’s understandable that you might not have the time to manage your investments personally. This is […]
Investors who lost money in annuities and investment products offered by Northstar Financial Services (Bermuda) are facing significant challenges in recouping their losses after the company’s bankruptcy and liquidation. The situation has raised serious concerns about the suitability of these investments and the potential for broker misconduct in recommending these products to clients. Northstar Bermuda: […]
The ongoing legal battle between J.P. Morgan Securities and former First Republic advisors has garnered significant attention in the financial industry. At the heart of the dispute is J.P. Morgan’s attempt to block these advisors from pursuing counterclaims in arbitration proceedings before FINRA. This case highlights the complexities of employment disputes within the securities industry […]
In the intricate realm of financial regulation, maintaining a robust supervisory system is paramount to ensuring compliance and protecting investors’ interests. The recent sanctions against Barclays Capital Inc. highlight the critical need for comprehensive oversight, particularly in managing conflicts of interest and trading restrictions. At Bakhtiari & Harrison, our experienced securities lawyers are dedicated to […]
In the dynamic world of financial regulation, compliance with evolving rules is paramount for any securities firm. Murray Securities, Inc.’s recent sanctions by the Financial Industry Regulatory Authority (FINRA) underscore the importance of adhering to regulatory standards, particularly concerning Regulation Best Interest (Reg BI) and Form CRS. At Bakhtiari & Harrison, our experienced securities attorneys […]