June 12, 2024
The FINRA Investor Education Foundation (FINRA Foundation) has released a new report, The machines are coming (with personal finance information). Do we trust them? This report highlights the intersection of technology and Financial literacy. As the landscape of personal finance evolves, understanding the role of technology, including artificial intelligence, becomes increasingly essential for consumers. The integration […]
June 11, 2024
Interest rates are a critical lever in the economic machinery, influencing a myriad of financial and economic variables. Over the past few years, fluctuations in interest rates have had profound effects on various sectors, including the stock market, real estate (both commercial and residential), derivatives, and startups. This report provides a detailed and sophisticated analysis […]
June 8, 2024
At Bakhtiari & Harrison, our California securities lawyers focus on representing individual investors in securities arbitrations through FINRA, both nationwide and across California. Our team of experienced investment attorneys serves clients in all major California cities, including Los Angeles, San Diego, San Jose, San Francisco, Fresno, Sacramento, Long Beach, Oakland, Santa Ana, Anaheim, Pasadena, and […]
June 7, 2024
As a FINRA-registered representative, it’s crucial to understand when a customer complaint necessitates a disclosure and when it does not. Many firms, unfortunately, adopt a blanket policy of filing a disclosure for every complaint received, without considering whether it meets the specific criteria set by FINRA Rule 4530 and Form U4. This over-cautious approach can […]
June 6, 2024
Bakhtiari & Harrison are investigating First Republic Securities Company and JP Morgan Private Wealth Advisors LLC in connection with customer complaints alleging damages due to unsuitable investment recommendations and/or investor concentration in First Republic Bank preferred stock. Investors who suffered losses with an advisor at First Republic Securities Company are encouraged to contact us for […]
