Free Consultation:
(800) 382-7969
In April 2022, the investment landscape shifted dramatically when GWG Holdings declared bankruptcy, significantly impacting investors, particularly those with GWG L Bonds. At Bakhtiari & Harrison, a leading law firm in Beverly Hills foucsing on FINRA arbitrations, we are dedicated to offering our expertise, guidance and robust representation to investors adversely affected by these events. […]
In the rapidly evolving landscape of financial services, maintaining compliance with regulatory standards is paramount. For FINRA registered persons, the use of text messages to communicate with clients presents significant challenges from a compliance standpoint. At Bakhtiari & Harrison, our experienced FINRA securities attorneys emphasize the importance of adhering to best practices to mitigate these […]
The FINRA Investor Education Foundation (FINRA Foundation) has released a new report, The machines are coming (with personal finance information). Do we trust them? This report highlights the intersection of technology and Financial literacy. As the landscape of personal finance evolves, understanding the role of technology, including artificial intelligence, becomes increasingly essential for consumers. The integration […]
Interest rates are a critical lever in the economic machinery, influencing a myriad of financial and economic variables. Over the past few years, fluctuations in interest rates have had profound effects on various sectors, including the stock market, real estate (both commercial and residential), derivatives, and startups. This report provides a detailed and sophisticated analysis […]
As a FINRA-registered representative, it’s crucial to understand when a customer complaint necessitates a disclosure and when it does not. Many firms, unfortunately, adopt a blanket policy of filing a disclosure for every complaint received, without considering whether it meets the specific criteria set by FINRA Rule 4530 and Form U4. This over-cautious approach can […]