Registered Persons

Bakhtiari & Harrison represents FINRA, SEC and state registered individuals within the securities industry, including both Registered Investment Advisors (RIAs) and FINRA associated persons. The law firm provides expert legal guidance and robust support throughout all stages of their professional careers, from on-boarding, employee forgivable loans, compliance, and other employment related issues. We bring a wealth of experience in offering comprehensive counseling to help industry professionals expertly navigate the complex landscape and industry standards.

Understanding the critical needs for compliance, business management, and risk mitigation in the securities industry, Bakhtiari & Harrison’s services are carefully tailored to support registered or licensed individuals.

Our legal expertise also encompasses a wide range of employment-related issues specifically relevant to registered or licensed persons in the securities industry. We provide strategic advice on employment contracts, dispute resolution, and transitional strategies designed to support professionals looking to expand, adapt, or enhance their business operations. Whether our clients are initiating a new securities firm, navigating career transitions, or tackling complex regulatory challenges, Bakhtiari & Harrison is committed to delivering comprehensive legal solutions that empower professionals to succeed and excel in the competitive environment of the securities industry.

For more information concerning areas of routine representation:

• Compensation Disputes
• Defamation
• Employment
• ERISA
• Expungement
• Promissory Notes
• Regulatory
• Transition Services
• Whistleblower