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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 […]
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 […]
This blog outlines Bakhtiari & Harrison’s representation of investors and financial advisors in FINRA arbitration, with a focus on the unique needs of Los Angeles’ diverse communities. It explains common California securities claims – including suitability, unauthorized trading, and misrepresentations/omissions – along with other code violations. The article details the FINRA arbitration process from filing […]
In the ever-evolving landscape of financial planning, premium financing has emerged as a strategy that some high-net-worth individuals and businesses use to pay for substantial life insurance policies without liquidating their assets. While this approach can appear attractive, it carries significant risks and potential pitfalls that investors should carefully consider. The allure of retaining cash […]
Errors and Omissions (E&O) insurance is a critical component of risk management for financial advisors. This specialized form of liability insurance protects advisors from claims of negligence, mistakes, or omissions in the professional services they provide. Here, we discuss various aspects of E&O insurance that financial advisors should consider to ensure comprehensive coverage. The Importance […]