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When a stockbroker decides to sell their book of business, it is often due to retirement or a shift in career focus. Conversely, a financial advisor may look to purchase a book of business to expand their client base and grow their practice. How A Book of Business is Sold Bakhtiari & Harrison represent and […]
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 […]
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 […]
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 […]