The SEC issued an order dismissing this review proceeding after Patatian requested dismissal of his application for review. As a result, a National Adjudicatory Counsel (NAC) decision issued on September 28, 2023, became final. The NAC decision barred Patatian from association with any FINRA member in all capacities and ordered him to pay disgorgement of […]
Bakhtiari & Harrison is actively investigating claims for investors who are seeking to recover their losses from investments made with Herbert J. Sims & Co. Inc. (“HJ Sims”). Investor attorneys are investigating whether HJ Sims allegedly failed to align its investment recommendations with the personal investment objectives and best interests of its clients. This is […]
If you are an investor dealing with losses related to Springhill and seeking guidance or representation, understanding the role and expertise of Bakhtiari & Harrison could be crucial. Many investors have found themselves grappling with significant financial setbacks, and finding the right legal support can make a substantial difference in managing these challenges effectively. Bakhtiari […]
We are pleased to share the news of a recent triumph by David Harrison, in sucessfully secured a FINRA Award for a broker-dealer registered representative expunging a CRD Disclosure filed by Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC terminated the broker because a Wells Fargo Bank customer opened and then promptly closed […]
The Securities and Exchange Commission today charged John Hughes, president and chief compliance officer of registered investment adviser Prophecy Asset Management LP, for his involvement in a multi-year fraud that concealed losses of hundreds of millions of dollars from investors. Prophecy Asset Management advised multiple hedge funds and reported more than $500 million in assets […]