Blog
June 28, 2024
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 […]
June 26, 2024
Navigating the complexities of securities regulations is crucial for financial professionals and firms alike. The recent sanctions against Larry Joseph Michaels highlight the significance of adhering to regulatory requirements and the potential consequences of failing to do so. At Bakhtiari & Harrison, our experienced securities attorneys are dedicated to guiding clients through these challenges, ensuring […]
June 25, 2024
Navigating the complexities of securities arbitration requires a deep understanding of financial regulations, meticulous attention to detail, and a strong commitment to protecting clients’ interests. A recent case underscores the critical role that experienced securities arbitration attorneys play in resolving disputes and ensuring compliance. At Bakhtiari & Harrison, our dedicated team of securities arbitration attorneys […]
June 24, 2024
In today’s digital age, social media has become a powerful tool for financial firms to reach potential clients. However, leveraging this platform comes with its own set of regulatory challenges. Recent events involving Cobra Trading, Inc. underscore the importance of having knowledgeable securities attorneys to navigate the complexities of compliance in social media promotions. Bakhtiari […]
June 21, 2024
Registered representatives in the securities industry play a crucial role in guiding clients through complex financial landscapes, helping them make informed decisions about their investments. Despite their best efforts, these professionals can sometimes face frivolous claims from clients. Such claims, even when baseless, can tarnish a registered representative’s record on BrokerCheck, potentially impacting their career […]
