Blog
July 11, 2025
Understanding the term “investment-related” on FINRA Form U5 is essential for ensuring transparency and integrity within the financial services industry. This designation outlines the range of activities and incidents that financial professionals are required to disclose to regulatory authorities. By doing so, it supports thorough oversight and enhances investor protection. The definition of “investment-related” is […]
July 10, 2025
In the world of financial advisory, the term “fiduciary duty” is often mentioned but rarely fully understood. This essential legal and ethical obligation requires advisors to act in the best interests of their clients, setting a standard that fosters trust and transparency. As the financial landscape evolves, grasping the nuances of fiduciary duty becomes increasingly […]
July 6, 2025
Every year, countless seniors fall prey to the pernicious threat of financial abuse, often orchestrated through convoluted investment schemes. Elder financial abuse is an insidious crime, stripping away the lifetime savings of vulnerable individuals who are less equipped to recover from financial losses. This often overlooked issue demands an urgent and comprehensive approach to protect […]
July 3, 2025
If you invested in the Easterly ROCMuni High Income Municipal Bond Fund (ticker symbols – RMHVX, RMJAX, or RHHIX), you may have experienced devastating losses during June 2025. Although marketed as a municipal bond fund, RMHVX held speculative assets that made it far riskier than many investors realized. At Bakhtiari & Harrison, we are currently […]
You’re a successful stockbroker. You’ve built a solid book of business, cultivated strong client relationships, and consistently hit your numbers. Yet, you feel trapped. The firm that once seemed like the perfect fit now feels like a gilded cage. The culture has shifted, the platform is clunky, and the compensation plan that was once attractive […]
