Blog
May 20, 2024
As a registered representative, your professional reputation is paramount. Unfortunately, frivolous complaints can tarnish your record, affecting your career and client relationships. Understanding your options for removing such complaints is crucial. At Bakhtiari & Harrison, we are here to guide you through this complex process, including navigating FINRA Rule 2080 and recent changes in expungement […]
May 19, 2024
A recent opinion piece in Investment News raises questions about the valuation practices of Blackstone Real Estate Income Trust Inc. (BREIT). Nontraded REITs often rely on internally determined valuations, leading to opacity and potential discrepancies in value. Despite concerns about the broader commercial real estate market, BREIT’s net asset value (NAV) has remained high, raising […]
The U.S. Securities and Exchange Commission (SEC) is a cornerstone of the American financial system, tasked with a critical three-part mission: Protect Investors Maintain Fair, Orderly, and Efficient Markets Facilitate Capital Formation The Genesis of the SEC The SEC was born out of necessity during one of the darkest periods in American economic history. When […]
May 18, 2024
In today’s digital age, the use of social media and instant messaging apps like WhatsApp has become ubiquitous. Registered representatives, who are responsible for managing client investments and maintaining compliance with financial regulations, face unique challenges when it comes to using these platforms to communicate with customers. While these tools can enhance client engagement and […]
May 16, 2024
Investing in penny stocks can be alluring, especially with promises of significant returns. However, these investments come with high risks. When a financial advisor recommends venturing into such speculative investments, it’s crucial to proceed with caution. This blog post explores the critical steps you should take to safeguard your financial portfolio when faced with recommendations […]
