Representing Investors and Financial Professionals

Nationwide Representation in Securities Arbitration and Litigation for More than Four Decades

Retaining an attorney and law firm is an important decision made with great care. The Importance of Selection of Counsel cannot be overstated and may be the most important decision a litigant makes before or after a dispute arises. For more information, please review our Experience and Credentials.

The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization overseeing brokerage firms and their registered representatives in the United States. The vast majority of securities industry disputes are heard by FINRA arbitration panels located throughout the country. Bakhtiari & Harrison represents parties nationwide and has represented international clients in disputes with United States based financial service firms.

The national and local press have covered our attorneys on securities arbitration, securities litigation, regulatory and employment issues of importance, some of which can be found at our In The News section.

Aggressive Securities and Investment Fraud Lawyers

Bakhtiari & Harrison handles complex investor claims from initial consultation through hearing — unsuitability, misrepresentation, unauthorized trading, churning, overconcentration, Ponzi schemes, and failed investment products including variable annuities, structured notes, non-traded REITs, and private placements. Every case is prepared with the same rigor regardless of claim size. Ryan Bakhtiari’s service as FINRA NAMC Chairman and David Harrison’s years as Morgan Stanley Dean Witter in-house counsel give the firm a perspective on how the industry defends these claims — and how to counter those defenses.

We are dedicated to helping those affected in securities related disputes. Our partners have successfully resolved thousands of securities arbitration cases through full evidentiary arbitrations or settlements, recovering more than $250 million for our clients.

Experienced FINRA Attorneys Representing Financial Professionals

Bakhtiari & Harrison also provides legal services to Broker-Dealers and Registered Investment Advisors (RIAs) along with their officers, directors, registered representatives, employees, and associated persons.

Our firm offers expertise, legal guidance and support throughout the various phases of broker-dealer and investment advisor operations. We have extensive experience providing comprehensive counseling to firms ensuring they navigate the complex landscape of investment advisory services and compliance with confidence.

At Bakhtiari & Harrison, we provide expertise, guidance and robust support throughout the stages of a professional career, from on-boarding to employee forgivable loans, compliance, partnership disputes, expungement and other employment related issues. We provide strategic advice on employment contracts, dispute resolution, and transitional strategies to support professionals looking to expand, adapt, or enhance their business operations.

We are committed to delivering comprehensive legal solutions that empower professionals to succeed and excel in the competitive environment of the securities industry.

We understand the securities industry from the inside — which is why financial professionals specifically seek out Bakhtiari & Harrison for representation in matters where that knowledge is the difference.

Sophisticated and High Net Worth Investors

With decades of combined experience, our attorneys understand that affluent investors face unique financial exposures, intricate asset structures, and higher-stakes risks when dealing with brokerage firms, private placements, hedge funds, or complex investment products.

We provide discreet, high-level legal representation to professional athletes, entertainers, and public figures facing complex investment and financial disputes. Our firm understands that high-profile clients often become targets for fraudulent investment schemes, unsuitable financial products, or negligent financial advisors who exploit their fame and limited availability to manage personal portfolios.

The Intake and Consultation Process

Our initial consultation is free. We treat the details of your case and all documents with the utmost confidentiality and care. There is no cost or charge for our review, consultation and determination of whether to proceed.

We view each case as a partnership with our clients, guiding them through the process every step of the way. Our goal is to secure the best possible outcome. We make it easy to work with us. Clients can send documents electronically and encrypted online or deliver originals or copies. We offer in-person, video and telephone meetings. Contact us to discuss your potential matter.