Honolulu Investment Fraud Lawyers & FINRA Attorneys

Honolulu investment fraud lawyers serving Hawaii

Hawaii’s investor community is distinctive in several important ways. The state’s high cost of living means that accumulated investment assets — pension rollovers, brokerage accounts, real estate investment proceeds — represent an even more critical component of retirement security than in most mainland markets. The state’s significant retiree and near-retiree population, combined with a large military veteran community with pension assets, creates consistent exposure to the variable annuity abuse, non-traded REIT fraud, and elder financial fraud patterns that generate the most FINRA arbitration claims nationally.

There is a meaningful geographic advantage for Hawaii investors who retain Bakhtiari & Harrison. FINRA arbitration hearings for Hawaii investors are held at the Honolulu FINRA hearing location. Bakhtiari & Harrison represents Hawaii investors throughout the FINRA arbitration process — from the initial claim evaluation through the evidentiary hearing — and appears at hearing locations nationwide including Honolulu

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.

Hawaii-specific investment fraud patterns

• Real estate investment fraud: Hawaii’s extraordinary real estate values create significant exposure to real estate-related investment fraud — non-traded REITs, TIC investments, and private placement real estate funds marketed to Hawaii investors as ways to participate in the state’s real estate market without direct property ownership.
• Military veteran investment fraud: Hawaii’s large military community creates specific vulnerability to pension and TSP rollover mismanagement and unsuitable annuity recommendations targeting veterans with retirement income assets.
• Affinity fraud within tight-knit communities: Hawaii’s close-knit local communities — both ethnic and geographic — create conditions for affinity fraud where trust relationships are exploited to recommend unsuitable or fraudulent investments.
• Variable annuity abuse: retirement-age investors in Hawaii are targeted with the same variable annuity abuse patterns prevalent throughout the country — surrender periods that trap retirement savings, IRA placement that provides no incremental tax benefit, and switching claims that generate repeat commissions.

Why choose Bakhtiari & Harrison as your Honolulu 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.
• FINRA hearings near you. FINRA arbitration hearings are held at the regional location nearest the claimant — investors do not need to travel.
• Contingency fee representation. No recovery, no fee. Initial consultations are free.

Frequently asked questions — Honolulu investment fraud lawyers

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

Not necessarily. FINRA arbitration hearings are held at the regional location nearest the claimant — not at the attorney’s office. Bakhtiari & Harrison represents investors nationwide and appears at FINRA hearing locations throughout the country. What matters most is the attorney’s specific FINRA arbitration experience, not their physical proximity.

What is the deadline to file a FINRA arbitration claim in Hawaii?

Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. Hawaii investors may also have state law claims with their own limitations periods. Contact Bakhtiari & Harrison promptly — deadlines are strictly enforced.

Where are FINRA arbitration hearings held for Hawaii investors?

FINRA arbitration hearings for Hawaii investors are held at the designated Honolulu FINRA hearing location but they are administered out of FINRA’s offices at 300 South Grand Avenue, Los Angeles, CA 90071. Bakhtiari & Harrison is headquartered in Studio City, California — minutes from the LA FINRA office — and appears there regularly. Hawaii investors working with Bakhtiari & Harrison have their case handled by a firm that is based where their case is administered from.

Does Bakhtiari & Harrison represent investors on all Hawaiian islands?

Yes. Bakhtiari & Harrison represents investors throughout Hawaii including Oahu, Maui, the Big Island, Kauai, and Molokai. All FINRA arbitration hearings for Hawaii investors are held at the designated Honolulu location regardless of which island the investor lives on. The firm evaluates all Hawaii investment fraud claims at no charge.

Contact our 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