InvestmentNews
The Securities and Exchange Commission on Wednesday hit a New Jersey broker-dealer with a $240,000 penalty for working to block clients from reporting investment losses stemming from potential violations of securities laws. The firm, Nationwide Planning Associates Inc. of Fair Lawn, along with two registered investment advisor affiliates, agreed to the SEC’s settlement without admitting […]
BEVERLY HILLS, CALIFORNIA, UNITED STATES — Bakhtiari & Harrison is an “AV” rated law firm, focused on the worldwide representation of clients in complex arbitration, litigation, and related legal services in matters involving the securities industry. The firm’s partners have extensive experience in securities, employment and regulatory matters. Our focus is on delivering strategic and creative client-centric […]
InvestmentNews
“A broker admitting that he has been ripping off clients for 17 years is beyond troubling,” said one attorney. The Financial Industry Regulatory Authority Inc. on Monday barred a broker who had been “misappropriating” – meaning taking – client funds for 17 years and was fired from his firm, Western International Securities Inc., just last […]
Bakhtiari & Harrison partners Ryan Bakhtiari and David Harrison have been named Super Lawyers in the field of Securities law for 2024. Super Lawyers is a peer nominated list comprised of the top attorneys in their practice area. Mr. Bakhtiari has appeared on the Super Lawyers Securities law list from 2014 to 2024 and 2005 […]
InvestmentNews
A Los Angeles-based broker who was a big seller of GWG Holdings bonds is facing a staggering $7.85 million in investor lawsuits as GWG winds its way through bankruptcy proceedings and no one knows what the bonds are worth. The broker, Tony Barouti, is registered with Emerson Equity, the lead seller and underwriter of GWG […]