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On June 4, 2024, Crown Capital Securities, L.P., a brokerage firm based in Orange, California, faced significant regulatory action from the Financial Industry Regulatory Authority (FINRA). A Letter of Acceptance, Waiver, and Consent (AWC) was issued, resulting in the firm being censured, fined $50,000, and ordered to pay $116,390.58 in restitution to its customers. This […]
In the world of investments, trust is paramount. Investors entrust their hard-earned money to stockbrokers, expecting them to act in their best interest. However, not all stockbrokers uphold this trust. Some engage in fraudulent activities, exploiting their clients for personal gain. This article aims to expose the underbelly of stockbroker fraud. We delve into the […]
This year, some of the biggest names in business, including Boeing, Walgreens, Lululemon, and Intel, have seen their stock prices drop significantly. While these companies operate in very different industries, they share several common factors that have led to their stock depreciation. In this blog, we will explore these factors in detail, including the impact […]
Investing in the stock market can be profitable, but what happens when things go wrong? If you suspect your stockbroker has mismanaged your investments or acted unethically, you may wonder, “Can I sue my stockbroker?” In this comprehensive guide, we’ll answer 50 of investors’ most common questions about suing their stockbroker. Understanding Stockbroker Misconduct What […]
Investing in the stock market can be rewarding, but it also comes with risks. At Bakhtiari & Harrison, we want to help you make smart decisions with your money. We’ve put together a list of 50 frequently asked questions (FAQs) about risk in the stock market. These questions will help you understand the basics of […]