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Taking swift and informed action can help you recover from investment fraud and regain some or all of your losses. While no recovery method is guaranteed, there are several steps you can take to address the situation and work toward financial restoration. Here’s a comprehensive guide on how to recover from investment fraud. How Do […]
A securities and commodities fraud lawyer is a legal professional focusing on cases involving fraudulent practices within financial markets. These attorneys represent clients—whether investors, brokers, or firms—who have been victims of or accused of securities or commodities fraud. Their primary role is to protect the rights of their clients and ensure adherence to the laws […]
In the complex world of investments, even the savviest investors can fall victim to fraudulent schemes or unethical practices. When this happens, having skilled securities lawyers in LA County at Bakhtiari & Harrison on your side is critical. Bakhtiari & Harrison are trusted advocates for investors, committed to helping victims of securities fraud recover their […]
In today’s interconnected world, stock brokerage identity theft is an increasingly common issue. With personal and financial information readily accessible online, fraudsters exploit this data to either open brokerage accounts in someone else’s name or gain unauthorized access to existing accounts. This type of identity theft can result in severe financial and personal consequences if […]
Have you ever wondered if your financial losses are due to misconduct? Understanding examples of financial misconduct is critical for anyone who has invested through financial advisors or registered investment advisors. At Bakhtiari & Harrison, we focus on uncovering and addressing cases of financial misconduct, helping our clients recover their rightful assets. Contact us today […]
Securities fraud can have a far-reaching impact, affecting not only individuals but also the integrity of the financial markets. How do I report securities fraud in California? If you’ve encountered misleading practices, unauthorized trades, or fraudulent schemes in California, knowing how to report securities fraud is essential. This blog will guide you through the steps […]
In a landmark legal development, U.S. District Judge Paul G. Gardephe has reaffirmed that the Morgan Stanley deferred compensation plans are subject to the Employee Retirement Income Security Act of 1974 (ERISA). This decision mandates that Morgan Stanley, along with similar financial institutions, adhere to ERISA’s stringent fiduciary standards, ensuring that financial advisors’ deferred compensation […]
Are you concerned that your financial advisor may have acted inappropriately with your investments? Understanding what constitutes financial advisor misconduct is the first step towards resolving any issues and recovering your funds. At Bakhtiari & Harrison, we concentrate on assisting clients who have fallen victim to unethical practices by their financial advisors. Contact us today […]
Are you a stockbroker or financial advisor facing allegations of fraud or misconduct? Understanding the gravity of FINRA and SEC enforcement actions is crucial for protecting your career and reputation. Bakhtiari & Harrison, the preeminent nationwide Investment Fraud Securities Law Firm, stands ready to defend your case with a seasoned securities litigation defense team. Contact […]
Are you struggling with financial losses in the stock market due to the actions of your stockbroker or brokerage firm? You are not alone. Many investors face similar challenges, often feeling overwhelmed by larger financial institutions. Fortunately, securities litigation offers a powerful means of recourse. This legal action can be your optimal strategy for recovering […]
If you’ve been fortunate enough to receive private stock from your employer, you’ve likely experienced a rollercoaster of emotions and decisions, particularly when your company made the leap to going public. The initial excitement of a public offering can quickly become overwhelming, especially if you find that your financial advisor has failed to properly diversify […]
Securities fraud can disrupt your financial stability and leave you feeling helpless. If you’ve been misled or deceived in an investment, understanding your legal rights is crucial. Los Angeles securities fraud attorneys at Bakhtiari & Harrison are here to help individuals and businesses navigate these complex issues. In this blog, we will explore how attorneys […]
The Securities and Exchange Commission today announced fraud charges against Stephen Kenneth (“Ken”) Leech, the former co-chief investment officer (CIO) of registered investment adviser Western Asset Management Company LLC or WAMCO, for engaging in a multi-year scheme to allocate favorable trades to certain portfolios, while allocating unfavorable trades to other portfolios, a practice known as […]
Facing an investigation or enforcement action from the Securities and Exchange Commission (SEC) can be a daunting experience. Whether you’re an individual, corporate executive, or financial institution, navigating SEC inquiries requires a clear understanding of the law and a strong defense strategy. This is where an SEC defense lawyer can make a significant difference. In […]
Securities fraud is a serious offense with severe consequences. Those convicted may face significant prison sentences, steep fines, and other penalties. But what is the maximum sentence for securities fraud, and what factors influence the outcome of these cases? In this blog, we’ll explore the penalties for securities fraud, the laws governing these crimes, and […]
Securities fraud is a serious offense that can disrupt markets and devastate investors. Is securities fraud hard to prove? Proving securities fraud, however, can be a complex and challenging process. It involves navigating intricate legal standards, financial data, and regulatory requirements. In this blog, we will break down what makes securities fraud difficult to prove […]
Securities law is a specific area of legal practice that governs the complex financial markets. Within this field, securities litigators play a vital role in resolving disputes and addressing violations of securities regulations. Securities litigation can arise from a variety of issues, including fraud, insider trading, market manipulation, or corporate governance disputes. A securities litigator […]
Securities law is a complex and highly regulated area that governs financial markets, protecting both investors and businesses. Navigating the maze of regulations, compliance requirements, and legal pitfalls can be overwhelming for companies and individuals alike. This is where a securities attorney comes into play. In this blog, we will look at what a securities attorney […]
Investment fraud is a serious problem for the investing community. It can lead to significant financial damage, it erodes trust in markets and people. Without help, victims often struggle to recover their losses. Fortunately, there are several regulatory agencies and organizations dedicated to investigating such fraud and holding wrongdoers accountable. These bodies not only work […]
Investment fraud can be a terrible experience for victims. They often trust their financial future to dishonest people. Whether the fraud is a Ponzi scheme, insider trading, or another trick, it is important to prove it happened. This proof helps hold those responsible accountable and recover your losses. In this blog, we will look at the main […]
Investment fraud is a serious crime. It can cause dramatic financial losses and affect the lives of victims. Victims may also feel emotional pain and lose their sense of security. When an investor trusts a person or company and feels deceived, they have the right to take action to recover thier investment losses. But can […]
Have you ever placed a trade online, only to find that it didn’t go through as expected? Maybe it was delayed, duplicated, or miscalculated altogether. If this sounds familiar, you might be a victim of a negligent stock trading platform. If you’ve experienced losses because of negligent stock trading platform errors, don’t hesitate—reach out to […]
An arbitration lawyer is a legal professional who specializes in representing clients during arbitration proceedings. Arbitration is a way to resolve disputes without going to court. In this method, the parties agree to settle their conflict. They often get help from a neutral arbitrator or a panel. Experienced counsel helps clients navigate the process. They […]
Securities arbitration is a common way investors resolve disputes with FINRA-member brokerage firms and their registered representatives. If your account agreement contains an enforceable predispute arbitration clause and FINRA has jurisdiction, arbitration may be the required forum. Here’s what that actually means for you, broken into plain steps instead of legal jargon. In this guide, […]
If you believe your stockbroker defrauded you, you may wonder if hiring an attorney for FINRA arbitration is necessary. At Bakhtiari & Harrison, we focus on helping investors recover their losses through securities arbitration. What is FINRA Arbitration? FINRA arbitration allows investors to resolve disputes with brokers or brokerage firms without going to court. The […]
Churning is a form of unethical and illegal activity in the financial industry where a broker engages in excessive trading in a client’s account primarily to generate commissions, rather than to benefit the client. This deceptive practice can lead to substantial financial losses for investors and is a violation of securities regulations. It’s crucial for […]
Master Limited Partnerships, or MLPs, are a unique investment vehicle that combines the tax benefits of a partnership with the liquidity of publicly traded securities. These structures are primarily used in capital-intensive industries like energy and natural resources, offering investors the opportunity to invest in businesses that generate steady cash flows. This article delves into […]
A Real Estate Investment Trust, commonly known as a REIT, is a company that owns, operates, or finances income-producing real estate across a range of property sectors. Real Estate Investment Trusts offer investors a way to invest in real estate without the complexities of directly owning property, and they have become an increasingly popular investment […]
The iron condor options strategy is an advanced options trading strategy that appeals to experienced traders looking for limited-risk opportunities in a low-volatility market. By employing a combination of options contracts, this strategy allows traders to profit from minimal price movements in the underlying asset. This article explores how to construct the iron condor options […]
At Bakhtiari & Harrison, we understand the challenges investors face, especially those who have been defrauded by a financial advisor. Fixed income fraud remains a topic that investors should learn more about. Building trust with a financial advisor and making informed decisions are crucial steps toward securing your financial future. That’s why we’re here to […]
If you’ve been accused of exercising discretion in customer accounts, you may face severe consequences that could impact your career. Understanding FINRA Rules 3260(b) and 2010 is crucial for your defense. At Bakhtiari & Harrison, we help stockbrokers navigate these complex regulations and defend their professional reputation. If you’re in this situation, contact us today […]
The Federal Reserve (often referred to as the Fed) plays a crucial role in the United States economy by controlling the country’s monetary policy. One of the primary tools at its disposal is adjusting interest rates, specifically the federal funds rate. But why does the Federal Reserve choose to cut interest rates, and what does […]
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 […]
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 […]
Regulation D (Reg D) is a crucial part of the Securities Act of 1933, which provides exemptions from the registration requirements for certain securities offerings. These exemptions allow companies to raise capital without going through the lengthy and expensive process of registering with the Securities and Exchange Commission (SEC). For many startups and small businesses, […]
Why does FINRA bar brokers or financial advisors? The Financial Industry Regulatory Authority (FINRA) is a critical player in maintaining trust in the U.S. financial system. One of FINRA’s main jobs is to watch over brokers and brokerage firms and sometimes taking regulatory action FINRA bars brokers. Why does FINRA bar brokers? This helps make […]
Investing strategies that help manage risk while providing potential income are essential, especially for those recovering from losses due to poor financial advice. Cash-secured puts stand out as a prudent approach, balancing risk with the opportunity for gain. This strategy involves selling put options with enough cash reserved to cover the purchase of the stock […]
If you believe you are a victim of a premium financing insurance fraud, continue reading. Bakhtiari & Harrison recover losses on behalf of individuals defrauded by financial professionals. Misrepresentation of Premium Financing by Insurance Firms: A Closer Look Insurance is a vital financial tool that offers protection against various risks, providing peace of mind to […]
The collapse of Silicon Valley Bank (SVB) in March 2023 marked one of the largest bank failures in U.S. history and sent shockwaves through the tech and financial sectors. SVB, which had been a cornerstone of startup and venture capital funding for nearly 40 years, abruptly failed, leaving many businesses scrambling to secure their funds. […]
Recommendations and transactions made by stockbrokers on behalf of their customers can be categorized as either solicited or unsolicited. Understanding these categories is crucial for investors to navigate the complexities of trading and investment strategies effectively. Solicited trades are transactions that a broker recommends to a client or provides information or research on when an […]
Investing can be one of the best ways to grow your wealth, but it doesn’t come without risks. Sometimes, investments don’t go as planned, and you might face unexpected losses. While some losses are simply the nature of investing, others can result from misconduct, negligence, or fraud. This is where investment loss attorneys step in […]
When dealing with financial markets, the concept of “best execution” is paramount for broker-dealers and is mandated by regulatory authorities like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). This delves into the intricate details of the best execution obligation, examining its definition, practical application, various examples, and answering frequently […]
In the intricate world of financial services, receiving a request under FINRA Rule 8210 can be a significant concern for any registered representative. This rule empowers the Financial Industry Regulatory Authority (FINRA) to demand information, documents, or testimony from brokers or brokerage firms for its regulatory and oversight functions. This critical tool helps maintain the […]
Stock fraud happens when people use dishonest tactics in the stock market. They deceive investors or manipulate prices to make money for themselves. This is illegal and can have serious effects on both individual investors and the entire financial market. At its core, stock fraud usually involves lying, using inside information, or tricking investors in […]
At Bakhtiari & Harrison, we turn the tables on unethical trading practices. If you’ve been affected by churning or suspect your investments might be at risk, hiring our experienced team ensures that you have staunch advocates fighting to protect and recover your assets. This guide delves into the definition of churning, its impact on investors, […]
FINRA Updates Rule 8312? The Financial Industry Regulatory Authority (FINRA) has recently introduced amendments to Rule 8312, impacting how information is presented on BrokerCheck. Effective June 1, 2023, these changes will provide investors with clearer insights into whether a broker or member firm is currently designated as a “Restricted Firm” under FINRA’s regulatory framework. The […]
Steering through the complexities of financial regulations can be a formidable challenge, particularly when dealing with rules like FINRA Rule 3280. This rule governs private securities transactions by associated persons of a FINRA member firm, making it crucial for financial professionals to fully understand and comply with its requirements. Non-compliance with FINRA Rule 3280 can […]
When a financial professional parts ways with a broker-dealer, the details of their departure are meticulously recorded on Form U4 and subsequently reflected on FINRA’s BrokerCheck. The language used in this documentation isn’t just procedural—it can significantly influence future employment opportunities within the industry. For registered representatives, understanding the impact of these records and ensuring […]
Understanding Margin Accounts If you’ve ever delved into the world of trading or investing, you might have heard the term “margin call.” The term may seem scary, but knowing its meaning is important for handling investments and avoiding problems. Let’s break down what a margin call is, how it works, and why it’s important. To […]