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Bakhtiari & Harrison partners Ryan Bakhtiari and David Harrison have been named Super Lawyers in the field of Securities law for 2025. 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 2025 and 2005 […]
Financial Advisor IQ
Thousands of LPL customers whose advisors joined from Ameriprise between 2018 and 2020 have received notices from Ameriprise stating that their personal information was impermissibly used by the advisor, LPL says.
InvestmentNews
A three-person Finra arbitration last week hammered UBS Financial Services Inc. when it awarded $92.2 million in damages to a group of nine investors who alleged the firm engaged in a high-risk trading strategy linked to a financial advisor shorting shares of Tesla Inc.
Bakhtiari & Harrison, a premier law firm focusing on representing parties in securities litigation claims and in the FINRA forum, proudly announces a significant victory in a FINRA expungement case. The firm successfully secured an award recommending the removal of defamatory information from the Claimant’s Central Registration Depository (CRD) record, reaffirming its dedication to defending […]
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 […]