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Navigating a FINRA regulatory case can be a daunting task. The complexities of the financial industry and the regulatory framework can often seem overwhelming. This article aims to guide you through the process. It provides actionable insights and strategies to help you win your FINRA regulatory case. Whether you’re a financial professional, broker-dealer, or legal […]
At Bakhtiari & Harrison, we believe that the cornerstone of any successful investment strategy is rooted in robust due diligence. Investors trust that broker-dealers will thoroughly vet the products they recommend, ensuring their clients’ financial security. Unfortunately, as recent findings have shown, not all firms meet these critical responsibilities. The Financial Industry Regulatory Authority (FINRA) […]
Investing in the stock market can be a lucrative venture. However, it’s not without its risks. One of the most significant risks is falling victim to fraudulent securities practices. This is particularly true in the realm of microcap and penny stocks. Microcap stocks, also known as penny stocks, are low-priced shares of smaller companies. They […]
Financial advisors, compliance officers, and small business owners need to understand the intricacies of FINRA Rules 3270 and 2010 to navigate and manage outside business activities (OBAs) effectively. This guide provides a comprehensive overview of these rules, their implications, and the best practices for compliance. Overview of Outside Business Activities Definition of Outside Business Activities […]
Securities investment fraud is a severe crime with wide-ranging effects on U.S. investors. It occurs when stockbrokers mislead investors about the value or nature of their investments, causing significant financial losses. Knowing your rights and options is crucial if you are a victim of securities fraud. Understanding different types of securities fraud and the laws […]