Bakhtiari & Harrison

When investors lose money due to broker misconduct or unsuitable recommendations, they often assume their only option is to sue in court. However, most brokerage agreements require disputes to be resolved through FINRA arbitration. bhseclaw.com/blog/underst... #investmentfraudlawyer #FINRAlawyers

FINRA’s rules surrounding expungement are technical, and the process has become more stringent over time due. Attempting expungement without legal representation often leads to procedural issues. bhseclaw.com/blog/finra-e... #FINRAexpungement #bhseclaw #securitieslawyers #securitiesattorneys

The Psychology Behind Investment Fraud

Fraudsters exploit trust, authority, and emotion. They create urgency and appeal to greed by promising outsized returns, or exploit fear of missing out by referencing “exclusive opportunities.” bhseclaw.com/blog/signs-y... #investmentfraudlawyers #bhseclaw

An investment fraud attorney begins by distinguishing legitimate market loss from loss caused by rule violations. Every broker-dealer and registered representative must comply with securities laws, fiduciary duties, and FINRA standards bhseclaw.com/blog/when-to... #investmentfraudattorneys #bhseclaw

What is FINRA BrokerCheck?

The Financial Industry Regulatory Authority (FINRA) provides a vital tool called FINRA BrokerCheck, designed to offer insights into the backgrounds of brokers, investment advisers, and brokerage firms. bhseclaw.com/what-is-finr... #FINRAbrokercheck #bhseclaw

Understanding FINRA Arbitration

When an investor experiences financial loss due to misconduct, by a broker or investment firm, the first question is often: “Do I have to go to court?” In most cases, the answer is no. bhseclaw.com/blog/guide-f... #FINRAarbitration #investmentlawyer

Investigating Claims of Investment Fraud

An investigation often begins with gathering all account documents, correspondence, and disclosure forms. The lawyer studies patterns in the trading data to detect signs of misconduct. bhseclaw.com/blog/what-an...

Understanding 1031 Exchange Rules and Requirements

Under the 1031 like-kind exchange, investors can defer paying capital gains taxes by reinvesting sale proceeds into another qualifying property. bhseclaw.com/blog/underst... #1031exchange #bhseclaw

The Cornerstone of Responsibility: FINRA OBA Rule 3270 Defined

FINRA Rule 3270 is the regulatory cornerstone governing non-securities outside employment. It mandates prior written notice to the member firm. bhseclaw.com/blog/finra-o... #OBA #securitiesattorneys #bhseclaw

Pension Fund Losses?

Pension fund losses stemming from mismanagement or poor investment decisions represent a critical threat to the financial bedrock for millions of retirees. bhseclaw.com/blog/pension... #bhseclaw #trustedsecuritieslawyers

How to Use SEC IAPD: A Practical Guide for Investors

An effective place to start that due diligence is the SEC’s Investment Adviser Public Disclosure (IAPD) website. bhseclaw.com/blog/how-to-... #investmentfraudattorneys #bhseclaw

How to Use FINRA Broker Check: A Complete Guide for Investors

One of the simplest steps you can take is checking the professional’s background — and that’s what the free online tool FINRA Broker Check is built for. bhseclaw.com/blog/how-to-... #FINRABrokerCheck #trustedsecuritieslawyers #bhseclaw

Nationwide Representation in Securities Arbitration and Litigation

Bakhtiari & Harrison represents parties nationwide and has represented international clients in disputes with US based financial service firms. bhseclaw.com #investmentfraudlawyers #FINRAarbitration

Aggressive Securities and Investment Fraud Lawyers

We understand the unique needs and concerns of each client and implement an effective and compelling strategy from the outset. Bakhtiari & Harrison offers top-tier expertise in securities arbitration and litigation. bhseclaw.com

U5 Expungement

A “termination for cause” or even a “permitted to resign” can halt your ability to find employment, trigger regulatory inquiries, and permanently damage the reputation you spent decades building. bhseclaw.com/blog/u5-expu... #FINRAarbitration #FINRAexpungement #bhseclaw

When Investment Losses Aren’t Just Market Risk

The fundamental difference between acceptable market risk and actionable broker misconduct lies in the nature of the advice and the actions taken on your behalf bhseclaw.com #FINRAarbitration #investmentfraudattorneys #bhseclaw #trustedsecuritieslawyer

We provide discreet, high-level legal representation to professional athletes, entertainers, and public figures facing complex investment and financial disputes. bhseclaw.com/high-net-wor... #bhseclaw #trustedsecuritieslawyers

Account Over-Concentration Can Be Highly Speculative

Over-concentration is particularly problematic because it can result in an investment portfolio becoming overly sensitive to price movements within a specific sector or stock. bhseclaw.com/advisor-misc... #investmentfraudattorneys #FINRAattorneys

The Most Common Investor Claims Against Brokerage Firms and Financial Advisors

Did you ever wonder why investment professionals ask questions about your investment experience, risk tolerance and more? bhseclaw.com/advisor-misc... #investmentfraudattorneys #FINRAarbitration #bhseclaw

The Importance of Selection of Experienced Counsel

The retention of experienced counsel is a decision that should be made with great care. While some firms offer legal services, few if any have our experience and credentials bhseclaw.com/the-importan... #investmentfraudattorneys #FINRAattorneys

FINRA Trusted Contact Rule

As the population ages, the threat of financial exploitation against seniors and other at-risk adults has grown exponentially, placing brokerage firms on the front lines of defense. bhseclaw.com/blog/finra-t... #investmentfraudattorneys #trustedsecuritieslawyers

Stockbroker Negligence: More Than Just a Bad Investment

There is a line between an investment that underperforms due to market forces and losses that occur because a broker breached their professional and legal obligations. bhseclaw.com/blog/los-ang... #investmentfraudattorneys #bhseclaw

Leveraged Single Stock ETFs: Understanding Volatility Decay, Suitability, and Investor Recourse

The promise of substantial rewards is paired with a significant level of risk, which is often not fully grasped by many investors. bhseclaw.com/blog/leverag... #bhseclaw #investmentfraudattorneys

Why So Many Entertainers Lose Millions Through Bad Financial Advice

Entertainers can earn more in a few years than most do in a lifetime — but when bad advice strikes during these short income bursts, losses are magnified. bhseclaw.com/blog/enterta... #bhseclaw #investmentfraudattorneys

Failure to Supervise : Why Brokerage Firms Responsibility Under FINRA Rules

When a rogue broker engages in misconduct, the immediate focus often falls on the individual. bhseclaw.com/blog/failure... #bhseclaw #trustedsecuritieslawyers #FINRAarbitration

Sophisticated and High Net Worth Investors

At Bakhtiari & Harrison, we represent sophisticated and high net worth investors nationwide in complex securities and investment disputes. bhseclaw.com/high-net-wor... #HNW #bhseclaw #trustedsecuritieslawyers

Investment Fraud Lawyers

Bakhtiari & Harrison represents individuals and institutions in FINRA arbitration, litigation, and related legal services in matters involving the securities industry. bhseclaw.com/la-investmen... #investmentfraudlawyers #investmentfraudattorneys #bhseclaw

Stockbroker Negligence

Losing hard-earned money due to stockbroker negligence can be devastating for any investor. That’s why understanding your rights and the responsibilities of those handling your finances is crucial. bhseclaw.com/stockbroker-... #FINRAarbitration #trustedsecuritieslawyers

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. bhseclaw.com/registered-p... #bhseclaw #trustedsecuritieslawyers

Why is it hard to determine the value of an alternative investment?

The value of a non-traded REIT or a private equity holding, however, is often determined by the issuer or fund manager based on internal models or periodic appraisals. bhseclaw.com/blog/alterna... #bhseclaw #alts