Blog
August 3, 2024
California’s securities industry has been under intense scrutiny in recent years. The controversies and issues surrounding the industry have raised concerns among investors, regulators, and business owners. This blog explores the current state of California’s securities industry, highlighting regulatory failures, scandals, proposed reforms, and their economic impact through a question-and-answer format. Introduction What is the […]
Aegis Capital, a well-known investment firm, is facing a troubling trend. Recent data shows a significant increase in investment losses. This trend is not only impacting the firm’s financial health but also its reputation. Legal actions and allegations of securities fraud are adding to the firm’s woes. Investors are growing increasingly concerned, questioning the firm’s […]
Clearing your FINRA record can significantly improve your financial reputation. A clean record is crucial for maintaining credibility and attracting clients. Here are five effective tips to help you achieve a clean record with FINRA expungement in 2024. Introduction Having a clean FINRA record is vital for financial advisors, investors, and compliance officers. Negative marks […]
August 2, 2024
Can I sue my stockbroker? Investing your hard-earned money is a big decision. You trust your stockbroker to make wise choices with your investments. But what happens when things go wrong? If you’re in California and believe your stockbroker has mismanaged your investments, you might be able to take legal action through FINRA arbitration. This […]
Navigating the intricate landscape of securities transactions in California can be daunting. At Bakhtiari & Harrison, we focus on providing clear guidance and professional legal representation to help our clients understand and comply with these regulations. Whether you’re in Los Angeles, San Francisco, San Diego, or Sacramento, understanding the key components of California securities laws […]