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Retaining an attorney and law firm is an important decision made with great care; in fact, the retention of counsel after a dispute arises may be the single most important decision a potential litigant makes. Orange County investment fraud lawyers Bakhtiari & Harrison are focused on representing Orange County, California-based clients in complex arbitration, litigation, […]
It is critical to have an experienced securities attorney review employment related documents. When stockbrokers receive a promissory note or employment forgivable loan proposal from a broker-dealer, it’s crucial to understand that these documents are more than just formalities—they are binding legal contracts with significant financial and professional implications. Signing without a thorough review can […]
In the world of investment advisory, the relationships between Registered Investment Advisors (RIAs) and their clients are governed by a series of complex and highly detailed agreements. These documents outline everything from investment objectives to risk tolerance and time horizons, serving as the foundation for the fiduciary relationship between advisors and their clients. Ensuring these […]
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees, and Discusses Advanced Analytics Strategic Initiative The FINRA Board of Governors convened for their second meeting of the year on May 8-9, 2024. Key decisions and updates included the approval of the 2023 Annual Financial Report, appointment of new Advisory Committee members, and […]
There are over 18 million veterans in the United States, making them prime targets for fraud. Fraudsters often target groups with shared backgrounds and interests, making veterans and their families vulnerable to investment scams. Some scammers may even pretend to be veterans themselves. Recognizing Fraudulent Investment Schemes Investment fraud comes in many forms, with scammers […]