Broker-Dealer Representation

Bakhtiari & Harrison providing legal services and solutions for Broker-Dealers and their associated persons. The law firm is dedicated to addressing the unique challenges and needs of Broker-Dealers, providing exceptional legal guidance and support through all phases of their operations. We have a deep understanding of the broker-dealer industry, enabling us to offer comprehensive counseling that ensures our clients confidently navigate the complexities of financial services regulation.

At Bakhtiari & Harrison, we recognize the paramount importance of compliance, business management, and risk mitigation for Broker-Dealers. The firm also offers support for compliance matters concerning evolving industry standards.

Our legal expertise further encompasses handling employment-related issues specific to Broker-Dealers. We provide strategic advice on employment contracts, dispute resolution, and transition strategies tailored for Broker-Dealers aiming to expand or adapt their business models. Whether you are launching a new firm, navigating transitions, or dealing with intricate regulatory issues, Bakhtiari & Harrison is equipped to provide the robust legal solutions that Broker-Dealers require to thrive in the dynamic and competitive landscape of financial services.

For more information concerning areas of routine representation:

• Customer Disputes
• Industry Disputes
• Employment
• Regulatory
• Registered Person Transition Between Firms