Blog
June 27, 2024
Investors are increasingly finding themselves in complex situations where unsuitable investment products result in significant financial losses. Recent arbitration involving GWG bonds has highlighted critical issues surrounding investment suitability and fiduciary duty. At Bakhtiari & Harrison, our securities attorneys are dedicated to providing legal guidance to investors who have suffered losses due to unsuitable investments […]
June 26, 2024
Navigating the complexities of securities regulations is crucial for financial professionals and firms alike. The recent sanctions against Larry Joseph Michaels highlight the significance of adhering to regulatory requirements and the potential consequences of failing to do so. At Bakhtiari & Harrison, our experienced securities attorneys are dedicated to guiding clients through these challenges, ensuring […]
June 25, 2024
Navigating the complexities of securities arbitration requires a deep understanding of financial regulations, meticulous attention to detail, and a strong commitment to protecting clients’ interests. A recent case underscores the critical role that experienced securities arbitration attorneys play in resolving disputes and ensuring compliance. At Bakhtiari & Harrison, our dedicated team of securities arbitration attorneys […]
June 24, 2024
In today’s digital age, social media has become a powerful tool for financial firms to reach potential clients. However, leveraging this platform comes with its own set of regulatory challenges. Recent events involving Cobra Trading, Inc. underscore the importance of having knowledgeable securities attorneys to navigate the complexities of compliance in social media promotions. Bakhtiari […]
June 22, 2024
The Financial Industry Regulatory Authority (FINRA) has suspended broker Joseph Desapio for 15 months due to violations of Regulation Best Interest (Reg BI). Desapio’s misconduct involved recommending unsuitable trades in four accounts held by three customers, one of whom was over 70 years old. This case underscores the critical role of compliance with Reg BI […]
