Blog
August 11, 2024
At Bakhtiari & Harrison, we understand that transitioning to a new broker-dealer can be a significant career decision for FINRA registered representatives. It involves meticulous planning, legal considerations, and strategic execution. Our firm is committed to guiding you through this complex process, ensuring a seamless transition that maximizes client retention and minimizes legal entanglements. Understanding […]
Navigating the world of penny stocks can be a complex endeavor. The high-risk nature of these investments often calls for expert guidance. Enter the penny stocks lawyer. These legal securities attorneys professionals have securities law experience, providing investors invaluable advice. Their role is multifaceted, encompassing everything from financial regulation to investment fraud. They help investors […]
Navigating the financial industry’s regulatory landscape can be complex. Understanding FINRA AWC regulations is crucial for broker-dealers. FINRA, or the Financial Industry Regulatory Authority, uses AWCs, or Acceptance, Waiver, and Consent, as a key enforcement tool. This tool helps maintain the integrity of the financial markets. In this article, we’ll delve into the intricacies of […]
August 10, 2024
In the world of finance, stockbroker supervision is a critical aspect. It ensures the protection of investors and the integrity of the market. However, failures in this area can lead to significant consequences. One such case is the failure to supervise stockbrokers at Wedbush Securities Inc. This article delves into the specifics of this case. […]
On May 31, 2024, an Acceptance, Waiver, and Consent (AWC) was issued, barring Ronald Harland Berg from association with any FINRA member in all capacities. The action was taken due to Berg’s refusal to provide information and documents requested by FINRA during its examination of his recommendations to senior customers regarding private offerings and his […]
