New Jersey Investment Fraud Lawyers & FINRA Attorneys
Investment fraud lawyers serving New Jersey
New Jersey’s investor community is among the most substantial in the country. The state’s proximity to Wall Street means its residents are served — and frequently harmed — by the same major broker-dealers whose misconduct generates the largest FINRA arbitration claims in the country. Northern New Jersey communities including Bergen County, Essex County, Hudson County, Morris County, and Monmouth County are home to a large concentration of financial services executives, technology professionals, and high-net-worth investors whose assets are managed through major national brokerage networks.
Southern New Jersey and the Delaware Valley corridor — Cherry Hill, Haddonfield, Moorestown, and the communities surrounding Philadelphia — represent a separate investor concentration with significant retirement wealth and a history of suitability and elder fraud claims. Bakhtiari & Harrison represents investors throughout New Jersey and appears at FINRA hearing locations serving New Jersey investors.
New Jersey communities we serve
Bakhtiari & Harrison represents investors throughout New Jersey — including Newark, Jersey City, Paterson, Elizabeth, Edison, Trenton, Camden, Cherry Hill, Princeton, Morristown, Hoboken, Fort Lee, Hackensack, Parsippany, and surrounding communities across Bergen, Essex, Hudson, Middlesex, Monmouth, Morris, Ocean, and Union Counties.
Investment fraud and misconduct claims we handle
- Unsuitable investment recommendations: brokers who recommend investments inconsistent with an investor’s risk tolerance, financial situation, or investment objectives violate FINRA Rule 2111 and Regulation Best Interest.
- Broker fraud and misrepresentation: material misstatements and omissions in connection with an investment recommendation 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 actionable as 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 complex or illiquid products including non-traded REITs, structured notes, variable annuities, leveraged ETFs, and private placements.
- Elder financial fraud: financial professionals who exploit elderly or vulnerable investors face enhanced liability under federal and state elder financial abuse statutes.
- Failure to supervise: brokerage firms bear independent liability under FINRA Rule 3110 for failing to adequately supervise their registered representatives.
New Jersey securities law — additional investor protections
New Jersey investors have access to claims under the New Jersey Uniform Securities Law (N.J.S.A. 49:3-47 et seq.) in addition to federal securities law. The New Jersey Uniform Securities Law prohibits fraud in connection with the offer or sale of securities and provides for rescission — allowing investors to recover their original investment plus interest. New Jersey’s statute of limitations for securities fraud claims is two years from discovery — shorter than FINRA’s six-year eligibility period, making early consultation with an attorney critical.
Why choose Bakhtiari & Harrison as your New Jersey investment fraud lawyers
- $250 million+ recovered. Four decades of results for investors in FINRA arbitration and securities litigation nationwide.
- Former FINRA NAMC Chairman. Ryan Bakhtiari served as Chairman of the FINRA National Arbitration and Mediation Committee from 2013 to 2017 — the body that writes the rules governing every FINRA arbitration proceeding.
- Former Morgan Stanley in-house counsel. David Harrison spent years as in-house counsel at Morgan Stanley Dean Witter and began his career as a Series 7-licensed registered representative at Shearson Lehman Brothers.
- New York bar admission. David Harrison is admitted in New York — giving New Jersey investors direct access to New York-admitted counsel familiar with the financial industry that serves the majority of New Jersey investors.
- FINRA hearings near you. FINRA arbitration hearings are held at the venue nearest the claimant’s residence. Investor cases are handled on a contingency fee basis — no recovery, no fee.
For investors in the broader New York metropolitan area, Bakhtiari & Harrison also represents investors in New York City and throughout New York State.
Frequently asked questions — New Jersey investment fraud lawyers
Do I need a local New Jersey attorney for a FINRA arbitration claim?
Not necessarily. FINRA arbitration hearings are held at the venue nearest the claimant’s residence. Bakhtiari & Harrison represents investors throughout New Jersey and nationwide. What matters most is the attorney’s specific FINRA arbitration experience and knowledge of the claims at issue, not their physical proximity.
What is the deadline to file a FINRA arbitration claim in New Jersey?
Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. New Jersey investors may also have state law claims under the New Jersey Uniform Securities Law with a two-year discovery period — shorter than the FINRA deadline. Contact Bakhtiari & Harrison promptly — time limits are strictly enforced.
What investment fraud is most common in New Jersey?
New Jersey investors face the full range of broker misconduct claims, with specific patterns around unsuitable alternative investment recommendations targeting the state’s large community of accredited investors in the technology and pharmaceutical industries. Variable annuity abuse targeting the retirement-age population, non-traded REIT fraud, and elder financial fraud are also prevalent. Bakhtiari & Harrison evaluates all New Jersey investment fraud claims at no charge.
Does Bakhtiari & Harrison represent investors throughout New Jersey?
Yes. Bakhtiari & Harrison represents investors throughout New Jersey — including Newark, Jersey City, Paterson, Elizabeth, Edison, Trenton, Camden, Cherry Hill, Princeton, Morristown, Hoboken, Fort Lee, Hackensack, and all other New Jersey communities. Investor cases are handled on a contingency fee basis — no recovery, no fee.
Contact our New Jersey 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