Burlingame Investment Fraud Lawyer & FINRA Attorneys

Investment fraud lawyers serving Burlingame and San Mateo County

Burlingame sits at the heart of the San Francisco Peninsula corridor — a stretch of communities between San Francisco and Silicon Valley whose concentration of technology wealth, financial services professionals, and high-net-worth retirees has created one of the most distinctive investor markets in the United States. The Peninsula’s proximity to both Silicon Valley’s technology industry and San Francisco’s financial sector means that Burlingame-area residents frequently hold significant equity compensation from major technology companies — RSU vesting events, stock option exercises, and IPO proceeds that create concentrated liquidity events specifically targeted by brokers recommending unsuitable product placements.

Hillsborough — adjacent to Burlingame and consistently ranked among the wealthiest communities in California — creates a specific high-net-worth investor fraud profile. The community’s substantial wealth, combined with the social trust networks that characterize tight-knit affluent communities, creates specific vulnerability to complex product misrepresentation and private placement fraud targeting accredited investors. San Francisco International Airport’s proximity also creates a community of airline industry executives and employees with specific pension and equity compensation exposure.

The broader San Mateo County investor community — San Mateo, Foster City, San Carlos, Belmont, and surrounding communities — has a large corporate and technology professional population whose investment accounts are managed through the same national broker-dealer networks that generate FINRA arbitration claims throughout the Bay Area. Bakhtiari & Harrison has represented Bay Area investors for over four decades and maintains specific familiarity with the Peninsula market’s distinctive fraud patterns.

Investment fraud and misconduct claims we handle

• Unsuitable investment recommendations: recommendations inconsistent with the investor’s risk tolerance, financial situation, or objectives violate FINRA Rule 2111 and Regulation Best Interest.
• Broker fraud and misrepresentation: material misstatements and omissions in connection with investment recommendations are actionable under federal securities law and FINRA rules.
• Unauthorized trading: executing transactions without prior client authorization violates the account agreement and FINRA rules.
• Churning and excessive trading: excessive trading to generate commissions at the investor’s expense is a suitability violation.
• Overconcentration: failing to maintain adequate diversification in a single security, sector, or product is a suitability violation.
• Product failure: unsuitable recommendations of non-traded REITs, structured notes, variable annuities, leveraged ETFs, and private placements.
• Elder financial fraud: financial professionals who exploit elderly investors face enhanced liability under California elder financial abuse statutes and federal law.
• Failure to supervise: brokerage firms bear independent liability under FINRA Rule 3110 when supervisory failures allow broker misconduct to cause investor harm.

Why choose Bakhtiari & Harrison as your Burlingame investment fraud lawyers

• $250 million+ recovered. Four decades of results for investors in FINRA arbitration and securities litigation, including a $54.1 million award against Citigroup Global Markets.
• California-admitted attorneys. Ryan Bakhtiari and David Harrison are both admitted in California and have represented California investors for over four decades.
• Former FINRA NAMC Chairman. Ryan Bakhtiari served as Chairman of the FINRA National Arbitration and Mediation Committee from 2013 to 2017.
• Former Morgan Stanley in-house counsel. David Harrison spent years as Morgan Stanley Dean Witter in-house counsel and began his career as a Series 7-licensed representative at Shearson Lehman Brothers.
• FINRA hearings near you. FINRA arbitration hearings are held at the venue nearest the claimant’s residence.
• Contingency fee representation. No recovery, no fee. Initial consultations are free.

For Bay Area coverage visit the San Francisco Investment Fraud Lawyers page. For statewide California coverage visit the California Investment Fraud Lawyers page.

Frequently asked questions — Burlingame investment fraud lawyers

Do I need a local Burlingame attorney for a FINRA arbitration claim?

No. FINRA arbitration hearings are held at the venue nearest the claimant’s residence — not the attorney’s office. The most important factor is specific FINRA arbitration experience and expertise with your type of misconduct. Bakhtiari & Harrison is California-admitted and has represented Bay Area investors for over four decades. Ryan Bakhtiari’s chairmanship of the FINRA NAMC and David Harrison’s Morgan Stanley in-house counsel background give this firm capabilities

no local general practice firm can match.

Does the arbitration clause in my brokerage account prevent me from bringing a claim?

No. The arbitration clause determines the forum — FINRA arbitration rather than court — but does not limit your substantive legal rights or recoverable damages. FINRA arbitration is a fully adequate forum that has produced individual awards exceeding $50 million. The clause does not protect the broker-dealer from liability for misconduct.

What if the investment promoter who defrauded me has been criminally charged or arrested?

Civil recovery and criminal proceedings are entirely independent. A criminal prosecution does not automatically compensate civil victims, and waiting risks allowing civil claims to become time-barred under FINRA’s six-year rule. Bakhtiari & Harrison pursues civil recovery through FINRA arbitration and federal court independently of any criminal proceedings. If the fraud was facilitated through a FINRA-registered broker-dealer, that firm may face separate FINRA arbitration liability regardless of criminal proceedings against the individual promoter.

Should I check my Burlingame broker on FINRA BrokerCheck before contacting an attorney?

Yes. BrokerCheck at brokercheck.finra.org is free and shows a broker’s complete registration history, employment record, and all disclosed customer complaints, regulatory actions, and criminal proceedings. Prior complaints involving similar conduct strengthen your claim and may support punitive damages. Bakhtiari & Harrison reviews BrokerCheck records in every initial case evaluation.

Contact our California investment fraud lawyers — free consultation

Contact Bakhtiari & Harrison for a free, confidential consultation. Our FINRA attorneys evaluate every potential investor claim at no charge. Investor cases are handled on a contingency fee basis — no recovery, no fee.

Investor cases are handled on a contingency fee basis — no recovery, no fee.

Call: (800) 382-7969 | Contact Us