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In the world of investing, diversification and risk management are key. Benefits of Using Covered Calls One strategy that seasoned investors often employ is the use of covered calls. Covered calls, a form of options trading, can serve as a powerful tool in an investor’s arsenal. They can generate income, provide a degree of protection […]
Investing in real estate income trusts like BREIT can be a lucrative venture. However, the financial landscape is not without its pitfalls. Investor fraud is one such risk that can lead to significant losses. A concern that affects not only individual investors but also the broader market is at hand. If you lost money as […]
Determining whether specific arbitration agreements can override the general obligation to arbitrate at FINRA is crucial. This requires understanding regulatory rules, contractual agreements, and relevant legal cases. Understanding the nuances of these legal frameworks helps in comprehending how arbitration agreements interact with regulatory obligations. General Obligation Concerning Arbitration at FINRA FINRA Rule 12200 requires FINRA […]
On May 16, 2024, FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from Kayan Securities, Inc. (CRD #156175) and Yong Soo Kim (CRD #1747849) in a significant FINRA enforcement action. This blog post will provide an overview of the case and its implications for securities firms and their supervisory practices. Background of the […]
Effective asset management and estate planning demand a fusion of financial acumen and legal insight where the convergence of expertise significantly benefits client outcomes. At Bakhtiari & Harrison, our focus on securities law, particularly adherence to FINRA regulations, ensures our clients’ investments are secure and meet legal standards. Our collaboration with trust and estate attorneys […]