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It is critical to have an experienced securities attorney review employment related documents. When stockbrokers receive a promissory note or employment forgivable loan proposal from a broker-dealer, it’s crucial to understand that these documents are more than just formalities—they are binding legal contracts with significant financial and professional implications. Signing without a thorough review can […]
There are over 18 million veterans in the United States, making them prime targets for fraud. Fraudsters often target groups with shared backgrounds and interests, making veterans and their families vulnerable to investment scams. Some scammers may even pretend to be veterans themselves. Recognizing Fraudulent Investment Schemes Investment fraud comes in many forms, with scammers […]
The Financial Industry Regulatory Authority (FINRA) has issued an AWC (Acceptance, Waiver, and Consent) against Juan Carlos Sosa (CRD #4059846), barring him from association with any FINRA member in all capacities. This action comes after Sosa was found to have converted over $331,000 from an elderly customer for his personal use. The case highlights a […]
Investing is a significant financial decision, and choosing the financial advisor is paramount to safeguarding your investments. Due Diligence of Financial Advisors Is a Key First Step in the Hiring Process Due diligence is not just recommended; it is essential in today’s complex financial marketplace. The Financial Industry Regulatory Authority (FINRA) provides a vital due […]
David Harrison, a distinguished attorney now affiliated with FINRA securities arbitration firm of Bakhtiari & Harrison, recently secured a significant victory in a FINRA arbitration case involving the expungement of a customer dispute from a registered representative’s BrokerCheck records. This case underscores the importance of robust legal representation in protecting the professional reputations of financial […]