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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 […]
Securities lawyers at Bakhtiari & Harrison, we are dedicated to safeguarding the interests of investors, particularly senior citizens who require capital preservation and liquidity. Recently, we have initiated investigations into several non-traded Real Estate Investment Trusts (REITs) due to significant redemption issues and potential misrepresentations by brokerage firms. These REITs include: Blackstone Real Estate Income […]
For stock brokers, purchasing a retiring broker’s book of business can be a strategic move to expand their client base and increase assets under management (AUM). However, this process involves careful consideration of various factors to ensure a successful transition. In this post, we will discuss the critical elements to consider when evaluating the selling […]