Have you suffered investment losses with National Securities Corp brokers? You might be questioning the reasons behind these losses. Could it be due to unsuitable recommendations, breach of fiduciary duty, or even securities fraud? This article aims to shed light on these issues. We’ll explore the responsibilities of brokers and the rights of investors. Stay […]
Bakhtiari & Harrison is a premiere nationwide securities law firm representing high net-worth individuals due to mismanagement of their investment portfolios. This firm represents athletes, actors, wealthy professionals, entrepreneurs, and financial advisors. Their main office is in Beverly Hills, California, and they have built a strong reputation for being reliable and trustworthy. Mission and Values […]
Have you ever heard of selling away? It’s something that can get financial advisors in big trouble with FINRA, the Financial Industry Regulatory Authority. This article will explain what selling away is, why it’s a problem, and what the consequences can be. We’ll also review some important FINRA rules you need to know about to […]
Navigating a FINRA regulatory case can be a daunting task. The complexities of the financial industry and the regulatory framework can often seem overwhelming. This article aims to guide you through the process. It provides actionable insights and strategies to help you win your FINRA regulatory case. Whether you’re a financial professional, broker-dealer, or legal […]
On June 4, 2024, Crown Capital Securities, L.P., a brokerage firm based in Orange, California, faced significant regulatory action from the Financial Industry Regulatory Authority (FINRA). A Letter of Acceptance, Waiver, and Consent (AWC) was issued, resulting in the firm being censured, fined $50,000, and ordered to pay $116,390.58 in restitution to its customers. This […]