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Securities Attorneys for Registered Persons and Employees

Bakhtiari & Harrison represents FINRA, SEC and state registered persons within the securities industry, including both Registered Investment Advisors (RIAs) and FINRA associated persons. The law firm provides expert legal expertise, guidance and robust support throughout all stages of a professional career, 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, registered persons and employees in expertly navigating the complex regulatory landscape and industry standards.

Bakhtiari & Harrison Represents Registered Persons in Dispute Resolution, Employment Matters, Regulatory Investigations and The Transition to New Financial Service Firms

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:

Registered Persons and Employees Need Experienced Counsel at Different Stages of Their Careers

Advisors understand the critical importance of partnering with a broker-dealer or investment advisor that can help them grow and support their client relationships. This realization often leads them to explore transitioning to the most suitable broker-dealer or custodial business partner to meet their evolving needs.

The transition process typically unfolds in three stages: exploration and due diligence, the transition itself, and post-transition considerations. Throughout these stages, advisors may encounter various legal, regulatory, and business challenges. Navigating contracts, promissory notes, the Protocol for Broker Recruiting, and the logistics of leaving an old firm to join a new one are just some of the issues that can arise.

The complexity of a transition can increase when customer claims, regulatory investigations, or employment-related issues come into play. In such situations, advisors must seek guidance to effectively manage interactions with state and federal regulators and other licensing entities. Having trusted legal counsel in place before making a transition is a critical step to ensure a smooth and successful move.

Advisors frequently seek expert advice on handling each stage of the transition process. Bakhtiari & Harrison offers strategic guidance to help advisors navigate these complexities and successfully transition their practice. Our firm provides comprehensive support, ensuring that all aspects of the transition are managed with expertise and precision, allowing advisors to focus on building and maintaining strong client relationships.