Blog
July 8, 2024
Ensuring adherence to securities laws and regulations is a fundamental aspect of operating within the financial industry. This was starkly highlighted by the recent $6.5 million fine imposed on Credit Suisse’s U.S.-based securities business by the U.S. Financial Industry Regulatory Authority (FINRA) and major exchanges. This penalty underscores the importance of establishing robust supervisory systems […]
The Hidden Risks of Promissory Notes: What Every Investor Should Know Promissory notes can seem like a straightforward and attractive alternative to traditional investments like stocks and bonds. However, they are not without significant risks, and scams involving promissory notes have defrauded investors of hundreds of millions of dollars. While some promissory notes are legitimate […]
July 7, 2024
Understanding the Role of Securities Lawyers In the ever-evolving landscape of financial regulations and securities law, the expertise of seasoned securities lawyers is indispensable. Bakhtiari & Harrison, a leading law firm focusing on securities law, continues to uphold its commitment to providing top-notch legal services to clients navigating complex regulatory environments. Recent events surrounding Dawson […]
July 5, 2024
As a doctor, your primary focus is on your patients and providing the best possible care. Whether you’re a general practitioner, a specialist, or a surgeon, your day-to-day responsibilities are demanding and time-consuming. Given the nature of your profession, it’s understandable that you might not have the time to manage your investments personally. This is […]
July 4, 2024
Investors who lost money in annuities and investment products offered by Northstar Financial Services (Bermuda) are facing significant challenges in recouping their losses after the company’s bankruptcy and liquidation. The situation has raised serious concerns about the suitability of these investments and the potential for broker misconduct in recommending these products to clients. Northstar Bermuda: […]
