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On May 16, 2024, FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from Kayan Securities, Inc. (CRD #156175) and Yong Soo Kim (CRD #1747849) in a significant FINRA enforcement action. This blog post will provide an overview of the case and its implications for securities firms and their supervisory practices. Background of the […]
Effective asset management and estate planning demand a fusion of financial acumen and legal insight where the convergence of expertise significantly benefits client outcomes. At Bakhtiari & Harrison, our focus on securities law, particularly adherence to FINRA regulations, ensures our clients’ investments are secure and meet legal standards. Our collaboration with trust and estate attorneys […]
Stock brokerage identity theft is a growing problem in today’s digital age, where personal and financial information is readily available online. This type of identity theft occurs when a fraudster uses your personal information, such as your name, Social Security number, or login credentials, to open a brokerage account in your name or gain access […]
The yield curve is a graphical representation of the relationship between the interest rates of bonds with different maturities. Typically, the curve slopes upward, meaning that long-term interest rates are higher than short-term interest rates. However, there are times when the curve inverts, meaning that short-term interest rates are higher than long-term interest rates. This […]
Investing in the stock market can be rewarding, offering the potential for substantial returns and long-term financial security. However, when things go wrong due to the actions or inactions of a stockbroker or financial advisor, it can lead to significant financial losses and emotional distress. If you find yourself in such a situation, you might […]