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In the sophisticated arena of investment adviser management, adviser fraud is a serious concern that can undermine trust and cause substantial financial damage to investors. At the forefront of tackling these complex issues is Bakhtiari & Harrison, a law firm known for its focus on securities industry disputes, particularly those involving Investment Adviser fraud. Their […]
Written and reviewed by Ryan Bakhtiari, Partner — Bakhtiari & Harrison Admitted: CA | NY | TX | DC | Multiple Federal Courts · Super Lawyers 2005–2026 · Former PIABA President · Former FINRA NAMC Chairman · First Republic Bank failed in May 2023 and was acquired by JPMorgan Chase — leaving thousands of investors […]
The Financial Industry Regulatory Authority (FINRA) has announced disciplinary action against Matt Ward (CRD #2075525), fining him $5,000 and suspending him from association with any FINRA member in all capacities for 15 business days. This action follows findings that Ward exercised discretion in customer accounts without obtaining the necessary written authorization. Background and Findings Concerning […]
Four Professional Basketball Players Defrauded of Over $13 Million Damian Williams, the United States Attorney for the Southern District of New York, and Michael J. Driscoll, the Assistant Director in Charge of the New York Field Office of the Federal Bureau of Investigation (“FBI”), announced the unsealing of a six-count Indictment charging DARRYL COHEN, BRIAN […]
Ex-NBA agent Charles Briscoe pled guilty to wire fraud conspiracy and admitted to faking an NBA player’s signature on a $1 million loan. Although prosecutors requested an 18-month prison term, Briscoe will avoid prison time. Instead, he was sentenced to spend the first six months of his three-year supervisory period on home detention and will […]