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Navigating the complexities of securities arbitration requires a deep understanding of financial regulations, meticulous attention to detail, and a strong commitment to protecting clients’ interests. A recent case underscores the critical role that experienced securities arbitration attorneys play in resolving disputes and ensuring compliance. At Bakhtiari & Harrison, our dedicated team of securities arbitration attorneys […]
In today’s digital age, social media has become a powerful tool for financial firms to reach potential clients. However, leveraging this platform comes with its own set of regulatory challenges. Recent events involving Cobra Trading, Inc. underscore the importance of having knowledgeable securities attorneys to navigate the complexities of compliance in social media promotions. Bakhtiari […]
The Financial Industry Regulatory Authority (FINRA) has suspended broker Joseph Desapio for 15 months due to violations of Regulation Best Interest (Reg BI). Desapio’s misconduct involved recommending unsuitable trades in four accounts held by three customers, one of whom was over 70 years old. This case underscores the critical role of compliance with Reg BI […]
Registered representatives in the securities industry play a crucial role in guiding clients through complex financial landscapes, helping them make informed decisions about their investments. Despite their best efforts, these professionals can sometimes face frivolous claims from clients. Such claims, even when baseless, can tarnish a registered representative’s record on BrokerCheck, potentially impacting their career […]
In the ever-evolving landscape of financial planning, premium financing has emerged as a strategy that some high-net-worth individuals and businesses use to pay for substantial life insurance policies without liquidating their assets. While this approach can appear attractive, it carries significant risks and potential pitfalls that investors should carefully consider. The allure of retaining cash […]