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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, […]
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 […]
When you invest money, you trust financial professionals to handle your affairs responsibly. This trust is based on something called a “fiduciary duty.” This means that these advisors must always put your best interests first. The term “fiduciary duty” is often discussed by lawyers who focus on financial matters. It involves both ethical and legal […]
Investors place a great deal of trust in their financial advisors at IFG, expecting them to manage accounts responsibly and in their best interest. However, a recent case involving Stewart “Paxton” Ginn, a veteran broker in California, underscores the importance of vigilance in monitoring investment activities. According to a complaint filed on October 17 by […]
Understanding Affinity Fraud: A Threat to Investor Trust and Financial Security In the realm of investment scams, one of the most insidious and damaging forms is affinity fraud. This type of fraud exploits the trust within close-knit communities, leveraging shared characteristics, interests, or beliefs to deceive and manipulate victims. While the financial losses can be […]
Written and reviewed by David Harrison, Partner — Bakhtiari & Harrison Admitted: CA | NY · Super Lawyers 2015–2026 · Former NYC Assistant District Attorney · Former Morgan Stanley In-House Counsel · Series 7 Licensed · Last reviewed: May 2026 A Ponzi scheme is not just a criminal matter — it is an investment fraud […]
One key to successful investing often lies in balancing asset allocation and risk. Asset allocation is a crucial part of any investment strategy. It involves dividing investments among different asset classes, which can help mitigate risk and potentially enhance returns. However, understanding the correlation between asset allocation and risk is not always straightforward. It requires a deep […]
Investors consider bonds safe and steady, mainly for earning regular income instead of large profits. Some investors may choose to use bonds for growth when interest rates are low. Investors see stocks as overvalued or too risky, which is especially true. Bonds can provide a more stable investment option in these situations. Despite the appeal, […]
When you’re involved in a dispute with a brokerage firm, the potential financial outcome—whether it’s through a settlement or an award following arbitration—can have significant implications. It’s not just the amount of money that matters, but how this money affects your tax situation. Many individuals overlook the importance of understanding the tax consequences associated with […]
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 […]
California FINRA stockbroker employment lawyers at Bakhtiari & Harrison assist in navigating the world of employment related disputes which at times can be complex. Especially when disputes arise, the legal and regulatory landscape can seem daunting. The Financial Industry Regulatory Authority, or FINRA, plays a crucial role in this landscape. It regulates stockbroker employment and registration, […]
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, […]
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 […]
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 […]
In the world of investments, trust is paramount. Investors entrust their hard-earned money to stockbrokers, expecting them to act in their best interest. However, not all stockbrokers uphold this trust. Some engage in fraudulent activities, exploiting their clients for personal gain. This article aims to expose the underbelly of stockbroker fraud. We delve into the […]
Investing in the stock market can be profitable, but what happens when things go wrong? If you suspect your stockbroker has mismanaged your investments or acted unethically, you may wonder, “Can I sue my stockbroker?” In this comprehensive guide, we’ll answer 50 of investors’ most common questions about suing their stockbroker. Understanding Stockbroker Misconduct What […]
Investing in the stock market can be rewarding, but it also comes with risks. At Bakhtiari & Harrison, we want to help you make smart decisions with your money. We’ve put together a list of 50 frequently asked questions (FAQs) about risk in the stock market. These questions will help you understand the basics of […]
Overview of Stockbroker Misconduct and Investor Rights What is Stockbroker Misconduct? Definition and Examples: Stockbroker misconduct refers to unethical or illegal actions taken by a stockbroker that harm their clients’ investments. Examples include unauthorized trading, misrepresentation, fraud, and breach of fiduciary duty. Common Reasons for Investor Dissatisfaction: Investors may become dissatisfied due to significant financial […]
Navigating the world of investments can be complex. It’s a realm where trust in financial professionals is paramount. Yet, not all stockbrokers uphold their fiduciary duty. Misconduct in this field can lead to significant financial losses for investors. This article delves into the topic of stockbroker misconduct claims. It aims to shed light on what […]