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Investing in the stock market can be a lucrative venture. However, it’s not without its risks. One of the most significant risks is falling victim to fraudulent securities practices. This is particularly true in the realm of microcap and penny stocks. Microcap stocks, also known as penny stocks, are low-priced shares of smaller companies. They […]
Financial advisors, compliance officers, and small business owners need to understand the intricacies of FINRA Rules 3270 and 2010 to navigate and manage outside business activities (OBAs) effectively. This guide provides a comprehensive overview of these rules, their implications, and the best practices for compliance. Overview of Outside Business Activities Definition of Outside Business Activities […]
Securities investment fraud is a severe crime with wide-ranging effects on U.S. investors. It occurs when stockbrokers mislead investors about the value or nature of their investments, causing significant financial losses. Knowing your rights and options is crucial if you are a victim of securities fraud. Understanding different types of securities fraud and the laws […]
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 represent investors who have suffered […]
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 […]