Free Consultation:
(800) 382-7969
In the high-stakes world of finance, women continue to break barriers and excel as stock brokers and financial advisors. Yet, despite their significant contributions, many women in the industry face a pervasive issue: sexual harassment. When brokerage firms fail to prevent wrongful conduct or lack appropriate compliance resources, it can create a hostile work environment […]
Variable annuities are a popular investment product that combines the potential for market-based returns with the security of an insurance policy. While they can offer significant benefits for retirement planning, they also come with a range of costs, fees, and risks that investors need to be aware of. This blog aims to provide a comprehensive […]
Real Estate Investment Trusts (REITs) offer a way for investors to gain exposure to real estate without the need to directly own, manage, or finance properties. While many are familiar with publicly traded REITs, private REITs like the Blackstone Real Estate Income Trust (BREIT) also play a significant role in the real estate market. What […]
Navigating the securities brokerage industry requires registered representatives (RRs) to manage a host of legal and financial documents. Among these, promissory notes are particularly significant yet often misunderstood. These notes, frequently utilized by brokerage firms, carry considerable implications for the RRs who sign them. Understanding the details of these promissory notes, including their terms, conditions, […]
Written and reviewed by David Harrison, Partner — Bakhtiari & Harrison Admitted: CA | NY · Super Lawyers · Former NYC Assistant District Attorney · Former Morgan Stanley In-House Counsel · Series 7 Licensed · Last reviewed: May 2026 First Republic Bank’s preferred shares were noncumulative — meaning if the bank suspended dividends and later […]