The Financial Industry Regulatory Authority (FINRA) Rule 2111 is a pivotal regulation designed to ensure that financial advisors recommend suitable investments to their clients. This article delves into the intricacies of Rule 2111, analyzing its implications for the securities industry, and providing a comprehensive overview for investors and professionals alike. Introduction to FINRA Rule 2111 […]
When facing disputes within the complex and highly regulated financial services industry, having a reliable and knowledgeable legal partner is essential. At Bakhtiari & Harrison, we are dedicated to providing robust legal representation to investors who have suffered losses due to securities fraud, broker fraud, mismanagement, or other violations of securities laws. Our team of […]
Investing wisely requires a delicate balance, and one critical aspect of this is ensuring your portfolio is diversified. Over-concentration in an investment portfolio, where a significant portion of assets is invested in similar types of securities, sectors, or industries, can lead to excessive risk and potential loss. This issue is particularly prevalent when financial advisors […]
Securities law can often seem complex and shrouded in mystery, leading to many misconceptions and myths. Understanding the truth behind these myths is crucial for lawyers, investors, traders, and business owners. This guide aims to debunk ten common myths about securities law, providing clarity and insight into this essential field. Overview of Securities Law Securities […]
Navigating California securities laws can be daunting for financial advisors, small business owners, and law students. This step-by-step guide aims to simplify the process, offering essential insights into understanding and complying with California securities laws. Overview of California Securities Laws California securities laws regulate the offer, sale, and purchase of securities within the state. These […]