Investment fraud is a big problem for many investors in Brentwood, California. It can cause large losses and cause people to lose trust in the financial system. You may have heard terms like churning, selling away, and unauthorized trading. These are all types of investment fraud. Knowing about them is the first step to protecting […]
Selling away from a brokerage firm is a critical issue in the securities industry that can have serious implications for both brokers and investors. It involves a broker selling securities that are not approved by their employing firm, often bypassing necessary due diligence and regulatory oversight. This comprehensive guide, developed by Bakhtiari & Harrison, aims […]
Navigating the world of stockbroker employment in California can be complex. Especially when disputes arise, the legal landscape can seem daunting. The Financial Industry Regulatory Authority, or FINRA, plays a crucial role in this landscape. It regulates stockbroker employment and registration, impacting your career significantly. Understanding the implications of FINRA forms U4 and U5 is […]
In today’s digital age, transparency in the financial industry is crucial. Investors have unprecedented access to detailed information about brokers through platforms like FINRA’s BrokerCheck. This level of transparency helps maintain trust between investors and financial professionals. However, it can also harm brokers who face unfounded allegations. At Bakhtiari & Harrison, we understand the importance […]
In the volatile world of stock trading, avoiding losses can be challenging. However, with the right strategies and a disciplined approach, stockbrokers can minimize risks and protect their portfolios. In this article, we will explore various tips and techniques for stockbrokers to avoid losses and ensure wealth preservation. These strategies include asset allocation, risk management, […]