Bakhtiari & Harrison is an “AV” rated law firm, focused on the worldwide representation of clients in complex arbitration, litigation, and related legal services in matters involving the securities industry. The firm’s partners have extensive experience in securities, employment, and regulatory matters. Our focus is on delivering strategic and creative client-centric solutions. We represent individuals […]
Having a clean record is crucial for your reputation and career in the financial industry. If you have negative marks on your FINRA BrokerCheck, it can affect your opportunities for future employment and damage your credibility with investors. This is where a FINRA expungement lawyer can help. Explanation of FINRA Expungement FINRA expungement is the […]
FINRA disciplinary actions can seriously affect financial advisors, compliance officers, and investors. To help you avoid trouble, we’ve compiled this guide with ten foolproof steps to avoid potential FINRA disciplinary actions. Whether you are a financial advisor, a compliance officer, or an investor, these steps will help you navigate FINRA’s rules and regulations and maintain […]
In the financial industry, reputation is everything. A clean record can open doors, while a tarnished one can close them. Representing Financial Advisors in FINRA Expungement Matters For stockbrokers and financial advisors, one negative mark on their Financial Industry Regulatory Authority (FINRA) record can have profound implications. It can affect their career, reputation, and future […]
In today’s volatile market, the significance of asset allocation, diversification, and risk management cannot be overstated. These strategies are fundamental for stockbrokers to safeguard their clients’ investments and achieve long-term financial goals. Recent market events have highlighted the necessity of these principles, demonstrating how proper strategies can mitigate losses and stabilize portfolios. At Bakhtiari & […]