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In a landmark legal development, U.S. District Judge Paul G. Gardephe has reaffirmed that the Morgan Stanley deferred compensation plans are subject to the Employee Retirement Income Security Act of 1974 (ERISA). This decision mandates that Morgan Stanley, along with similar financial institutions, adhere to ERISA’s stringent fiduciary standards, ensuring that financial advisors’ deferred compensation […]
Are you concerned that your financial advisor may have acted inappropriately with your investments? Understanding what constitutes financial advisor misconduct is the first step towards resolving any issues and recovering your funds. At Bakhtiari & Harrison, we concentrate on assisting clients who have fallen victim to unethical practices by their financial advisors. Contact us today […]
Are you a stockbroker or financial advisor facing allegations of fraud or misconduct? Understanding the gravity of FINRA and SEC enforcement actions is crucial for protecting your career and reputation. Bakhtiari & Harrison, the preeminent nationwide Investment Fraud Securities Law Firm, stands ready to defend your case with a seasoned securities litigation defense team. Contact […]
Are you struggling with financial losses in the stock market due to the actions of your stockbroker or brokerage firm? You are not alone. Many investors face similar challenges, often feeling overwhelmed by larger financial institutions. Fortunately, securities litigation offers a powerful means of recourse. This legal action can be your optimal strategy for recovering […]
If you’ve been fortunate enough to receive private stock from your employer, you’ve likely experienced a rollercoaster of emotions and decisions, particularly when your company made the leap to going public. The initial excitement of a public offering can quickly become overwhelming, especially if you find that your financial advisor has failed to properly diversify […]