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A stockbroker borrows money from you, then they refuse to repay the loan. You may feel betrayed, frustrated, and unsure of what steps to take next. Unfortunately, this scenario is more common than you might think, and the good news is that there are protections for investors like you. The Financial Industry Regulatory Authority (FINRA) […]
If you’re considering a career in the financial services industry, you’ve likely come across the term “Series 6 License.” This license is essential for individuals who want to sell certain types of securities, such as mutual funds, variable annuities, and insurance products. Issued by the Financial Industry Regulatory Authority (FINRA), the Series 6 License is […]
Bakhtiari & Harrison is a Los Angeles investment fraud law firm representing clients in FINRA arbitration, litigation, and legal matters related to the securities industry. Bakhtiari & Harrison is an “AV” rated law firm that represents individuals and institutions in securities arbitration and litigation claims in state and federal courts. Los Angeles Investment Fraud Lawyers […]
A Trusted Partner for Paso Robles Investors Facing Stockbroker Fraud | Paso Robles FINRA Attorneys at Bakhtiari & Harrison Imagine you’re an investor in Paso Robles, California, placing your hard-earned savings in the hands of a stockbroker you trusted to prioritize your financial well-being. You dreamed of a prosperous future, whether it’s enjoying the picturesque […]
FINRA plays a crucial role in regulating brokers and resolving disputes between investors and brokerage firms. One of the key rules that comes into play in certain arbitration cases is FINRA Rule 13805, which governs how arbitrators handle cases involving the expungement of customer dispute information. Expungement is a process that allows brokers to remove […]