Does Bakhtiari & Harrison handle FINRA arbitration cases in San Francisco?

Yes. Bakhtiari & Harrison represents investors and financial professionals in FINRA arbitration throughout the San Francisco Bay Area. FINRA arbitration hearings for Northern California clients are typically held at the San Francisco regional hearing location. The firm is headquartered in Los Angeles and is admitted to practice throughout California, handling the full range of securities arbitration and investment fraud claims.

Can Bay Area investors recover losses under California securities law?

Yes. California investors — including those in San Francisco and the Bay Area — can assert claims under both federal securities laws and California law. These state law claims may provide additional remedies beyond what is available under federal law. Bakhtiari & Harrison's attorneys are experienced in asserting California state law securities claims in FINRA arbitration and in California state and federal courts.

San Francisco Investment Fraud Lawyers & FINRA Attorneys

Written and reviewed by

David Harrison, Partner — Bakhtiari & Harrison

Admitted: CA | NY · Former NYC Assistant District Attorney · Former Morgan Stanley In-House Counsel · Series 7 Licensed ·

Bakhtiari & Harrison are San Francisco investment fraud lawyers and FINRA attorneys representing investors in FINRA arbitration and securities litigation throughout the Bay Area and nationwide. Over four decades, the firm has recovered more than $250 million for clients. Ryan Bakhtiari served as Chairman of the FINRA National Arbitration and Mediation Committee and as President of PIABA. Partner David Harrison is a former New York City assistant district attorney and ex-Morgan Stanley in-house counsel who began his career as a Series 7-licensed registered representative at Shearson Lehman Brothers. Investor cases are handled on a contingency fee basis — no recovery, no fee. Initial consultations are free.

Investment fraud lawyers serving Alameda and the East Bay

Alameda and Alameda County’s investor community reflects the East Bay’s economic diversity. The city of Alameda’s large naval station heritage has left a significant veteran and military retiree community whose federal pension assets and retirement savings are targeted by the same TSP rollover mismanagement and unsuitable annuity recommendation patterns documented at military installations throughout California. The adjacent Oakland community’s port economy, growing technology sector anchored by companies like Pandora, Kaiser Permanente’s headquarters operations, and a large professional services community create additional investor demographics.

Berkeley’s University of California community — faculty, researchers, administrators, and the dense technology commercialization ecosystem surrounding the university — creates a significant academic investor profile with equity compensation from biotech and technology spinouts, private placement exposure in research ventures, and retirement assets managed through UC’s investment programs. The Berkeley hills communities have substantial accumulated wealth whose management creates consistent FINRA arbitration claim exposure.

The broader East Bay — Fremont, Union City, Hayward, San Leandro, Emeryville, and the communities along the I-880 corridor — has a large manufacturing, technology, and healthcare workforce with significant pension and 401(k) assets that are targeted at retirement by variable annuity recommendations and unsuitable rollover advice. The East Bay’s growing technology community in the Emeryville-Oakland corridor creates additional equity compensation fraud exposure.

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 Alameda 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 — Alameda investment fraud lawyers

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

FINRA Rule 12206 requires claims to be filed within six years of the events giving rise to the dispute. California state securities law claims under the California Corporations Code may have different limitations periods. These deadlines are absolute — contact Bakhtiari & Harrison promptly for a free evaluation.

What is failure to supervise and why does it matter for Alameda investors?

FINRA Rule 3110 requires every broker-dealer to maintain a supervisory system reasonably designed to detect and prevent misconduct. When East Bay branch offices fail to supervise their registered representatives and investors are harmed, the firm bears independent liability — in addition to the individual broker’s liability. This makes the firm a critical defendant with the financial resources to satisfy substantial awards.

What if the investment fraud involved my retirement savings or IRA?

FINRA arbitration is fully available for retirement account fraud. The tax-advantaged status of a retirement account does not limit legal rights — broker-dealers who mismanage retirement assets face the same FINRA arbitration liability as for taxable accounts. UC retirement system distributions and East Bay corporate 401(k) rollovers that were mismanaged are fully subject to FINRA arbitration claims.

How do I know if I have a viable Alameda investment fraud claim?

The most reliable answer comes from a free initial consultation with an experienced securities attorney who reviews your account records. Many East Bay investors discover actionable misconduct only after professional review. Bakhtiari & Harrison provides free evaluations with no obligation to proceed.

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.

Call: (800) 382-7969 | Contact Us