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The New York Attorney General’s office is announcing parallel actions against the two firms. Barclays agreed to settle the charges by admitting wrongdoing and paying $35 million penalties to the SEC and the NYAG for a total of $70 million. Credit Suisse agreed to settle the charges by paying a $30 million penalty to the […]
The Securities and Exchange Commission today announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by claiming they were safe, low-risk, and suitable for traditional bond investors. The funds later crumbled and eventually collapsed during the financial crisis. Citigroup Global Markets […]
Ryan Bakhtiari has been invited to participate as a speaker at the 2015 Practicing Law Institute (PLI) conference program on Thursday, July 30, 2015. Mr. Bakhtiari represents clients in securities disputes before FINRA (NASD, NYSE), state and federal courts. In June 2019, Mr. Bakhtiari was nominated to serve as a public member of the Discovery […]
Registered Representative Cesar Rodriguez Barred for Fraud and Improper Use of Customer Funds WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Avenir Financial Group, its CEO Michael Clements, and registered representative Karim Ibrahim aka Chris Allen consented to an order halting further fraudulent sales of equity interests in the firm and promissory […]
Ryan Bakhtiari has been invited to participate as a speaker at the 2014 Practicing Law Institute (PLI) conference program on Thursday, July 31, 2014. The PLI Securities Arbitration program is held at the PLI New York Center and also online by webcast. The program brings together legal professionals with securities industry regulators to discuss hot […]