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Ultimate Guide To Understanding the Risks and Legal Recourse for Penny Stocks

Why You Need a Penny Stock Lawyer: Protecting Your Investments from Fraud Investing in penny stocks can be an alluring prospect due to their low cost and high potential returns. However, these investments come with significant risks and are often the target of fraudulent schemes. At Bakhtiari & Harrison, we specialize in representing investors who […]

Importance of Complying with Regulation SP

Regulation SP, often called Reg SP, is a crucial rule for stockbrokers, financial advisors, and investors.  Stockbrokers need to follow Regulation SP to protect customers’ personal information.  It helps keep data safe and builds trust in the financial industry. Explanation of Regulation SP and Why Regulation SP Matters Regulation SP, set by the SEC, protects […]

Bakhtiari & Harrison: Your Trusted Legal Authorities for FINRA Rule 2111 Compliance

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 […]

Reasons an Experienced FINRA Expungement Lawyer is Critical

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. FINRA expungement is the process of removing harmful or […]

10 Foolproof Steps to Avoid FINRA Disciplinary Action

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 […]