Determining whether specific arbitration agreements can override the general obligation to arbitrate at FINRA is crucial. This requires understanding regulatory rules, contractual agreements, and relevant legal cases. Understanding the nuances of these legal frameworks helps in comprehending how arbitration agreements interact with regulatory obligations. General Obligation to Arbitrate at FINRA FINRA Rule 12200 requires FINRA […]
On May 16, 2024, FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from Kayan Securities, Inc. (CRD #156175) and Yong Soo Kim (CRD #1747849) in a significant FINRA enforcement action. This blog post will provide an overview of the case and its implications for securities firms and their supervisory practices. Background of the […]
Effective asset management and estate planning demand a fusion of financial acumen and legal insight where the convergence of expertise significantly benefits client outcomes. At Bakhtiari & Harrison, our focus on securities law, particularly adherence to FINRA regulations, ensures our clients’ investments are secure and meet legal standards. Our collaboration with trust and estate attorneys […]
Stock brokerage identity theft is a growing problem in today’s digital age, where personal and financial information is readily available online. This type of identity theft occurs when a fraudster uses your personal information, such as your name, Social Security number, or login credentials, to open a brokerage account in your name or gain access […]
Navigating the world of securities arbitration can be daunting. At Bakhtiari & Harrison, we understand the challenges investors face. We guide our clients through every step of the FINRA arbitration process. Understanding FINRA Arbitration The Financial Industry Regulatory Authority (FINRA) oversees brokerage firms and the financial services industry. When investors and brokers disagree, FINRA provides […]