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If you’ve been fortunate enough to receive private stock from your employer, you’ve likely experienced a rollercoaster of emotions and decisions, particularly when your company made the leap to going public. The initial excitement of a public offering can quickly become overwhelming, especially if you find that your financial advisor has failed to properly diversify […]
Securities fraud can disrupt your financial stability and leave you feeling helpless. If you’ve been misled or deceived in an investment, understanding your legal rights is crucial. Los Angeles securities fraud attorneys at Bakhtiari & Harrison are here to help individuals and businesses navigate these complex issues. In this blog, we will explore how attorneys […]
The Securities and Exchange Commission today announced fraud charges against Stephen Kenneth (“Ken”) Leech, the former co-chief investment officer (CIO) of registered investment adviser Western Asset Management Company LLC or WAMCO, for engaging in a multi-year scheme to allocate favorable trades to certain portfolios, while allocating unfavorable trades to other portfolios, a practice known as […]
Facing an investigation or enforcement action from the Securities and Exchange Commission (SEC) can be a daunting experience. Whether you’re an individual, corporate executive, or financial institution, navigating SEC inquiries requires a clear understanding of the law and a strong defense strategy. This is where an SEC defense lawyer can make a significant difference. In […]
Securities fraud is a serious offense with severe consequences. Those convicted may face significant prison sentences, steep fines, and other penalties. But what is the maximum sentence for securities fraud, and what factors influence the outcome of these cases? In this blog, we’ll explore the penalties for securities fraud, the laws governing these crimes, and […]