As a FINRA-registered representative, it’s crucial to understand when a customer complaint necessitates a disclosure and when it does not. Many firms, unfortunately, adopt a blanket policy of filing a disclosure for every complaint received, without considering whether it meets the specific criteria set by FINRA Rule 4530 and Form U4. This over-cautious approach can […]
Bakhtiari & Harrison are investigating Sam Schoner (CRD# 1928356) of First Republic Securities Company and JP Morgan Private Wealth Advisors LLC in connection with customer complaints alleging damages due to unsuitable investment recommendations and/or investor concentration in First Republic Bank preferred stock. Investors who suffered losses with Sam Schoner and/or any other advisor at First […]
When a financial advisor recommends taking a portfolio margin loan, there are several potential problems and risks that clients should be aware of: Problems Increased Risk: Market Volatility: Portfolio margin loans amplify the effects of market movements. While gains can be larger, losses can also be magnified, leading to significant financial risk. Margin Calls: If […]
When it comes to safeguarding your investments and ensuring compliance with the complex regulations governing securities, having a trusted legal partner by your side is essential. At Bakhtiari & Harrison, we focus on providing top-tier legal services as Beverly Hills FINRA Securities Attorneys. Why Choose Bakhtiari & Harrison as Your Beverly Hills FINRA Securities Attorneys? […]
In the high-stakes world of finance, women continue to break barriers and excel as stock brokers and financial advisors. Yet, despite their significant contributions, many women in the industry face a pervasive issue: sexual harassment. When brokerage firms fail to prevent wrongful conduct or lack appropriate compliance resources, it can create a hostile work environment […]