Misrepresentation & Omission Attorneys

Misrepresentations or the omission of material facts can lead to significant legal claims for fraud. A brokerage firm, acting as a fiduciary for its customers, is entrusted with the grave responsibility of full transparency. This fiduciary duty mandates that all material facts are disclosed to clients, ensuring that they have comprehensive knowledge crucial for informed investment decisions.

What is a Material Misrepresentation or Omission of Material Fact?

Material facts that must be disclosed by brokerage firms include, but are not limited to, information affecting the quality of the investment, inherent risk factors, the background of the company or its executives, and detailed company financials. These facts are essential for clients to evaluate the potential risks and benefits associated with their investment choices.

If a brokerage firm fails in its duty to provide complete and accurate information, or if it presents false information about an investment, the firm can be held legally accountable for the client’s financial losses. In such cases, the role of attorneys experienced in securities law becomes crucial. These legal professionals are adept at navigating the complexities of securities litigation and arbitration and can effectively represent clients who have suffered losses due to a brokerage firm’s malfeasance.

Securities attorneys work diligently to protect the interests of investors, providing guidance on how to proceed with claims against brokerage firms for misrepresentation or omission of material facts. They help gather evidence, formulate legal strategies, and argue cases in FINRA arbitration or court to seek restitution for aggrieved investors. By consulting with a knowledgeable attorney, investors can better understand their legal rights and options, potentially recovering losses incurred due to the inappropriate actions of a brokerage firm.

Overall, the engagement of a skilled attorney is pivotal for investors who suspect that their losses are due to misleading or incomplete information provided by their brokerage firm. These legal experts ensure that firms adhere to their fiduciary duties and are held accountable when they do not, safeguarding the financial interests of investors and maintaining the integrity of the securities market.

Nationwide Representation in FINRA Securities Arbitration and Securities Litigation

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 on a nationwide basis.

Members of 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 this site under the In The News section.

The Importance of Selection of Experienced Counsel

The retention of an attorney and law firm is an important decision made with great care. Please review our web site and examine our Experience and Credentials. The choice of counsel may be the single most important decision a litigant makes either before or after a dispute arises. Also read more about The Importance of Selection of Counsel.

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.