Austin Investment Fraud Lawyers & FINRA Attorneys
Investment fraud lawyers serving Austin and Central Texas
Austin has undergone a dramatic transformation into one of the country’s largest technology and innovation hubs — attracting major technology companies, venture capital, and a rapidly growing population of high-net-worth technology professionals, executives, and entrepreneurs. This concentration of new wealth creates specific investment fraud vulnerabilities: equity compensation mismanagement, unsuitable private placement recommendations targeting accredited investors, and structured product fraud marketed to technology professionals seeking alternatives to volatile public markets.
Bakhtiari & Harrison represents Austin investors in FINRA arbitration at the Dallas FINRA hearing location, which serves Central Texas. Ryan Bakhtiari is admitted in Texas, giving Austin investors access to Texas-admitted counsel for federal court securities litigation.
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 of fact in connection with an investment recommendation are actionable under federal securities law and FINRA rules.
- Unauthorized trading: executing transactions in a client’s account without prior authorization violates the client’s 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 and a breach of the duty of care.
- Overconcentration: failing to maintain adequate diversification — placing an excessive proportion of assets in a single security, sector, or product — is a suitability violation.
- Product failure: unsuitable recommendations of complex or illiquid investment 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.
Technology wealth and investment fraud in Austin
Austin’s technology sector creates specific investment fraud patterns that Bakhtiari & Harrison has addressed in FINRA arbitration for technology investors throughout California and now Texas. Common misconduct patterns include: mismanagement of concentrated RSU and stock option positions at vesting; unsuitable private placement recommendations targeting newly wealthy technology executives; structured note and auto-callable product recommendations that misrepresent downside risk; and hedge fund fraud targeting accredited technology investors.
Why choose Bakhtiari & Harrison as your Austin 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 — giving the firm direct institutional knowledge of how brokerage firms defend against investor claims.
- FINRA hearings near you. FINRA arbitration hearings are held at the regional hearing location nearest the claimant. Austin investors are not required to travel to California for their hearings.
- Contingency fee representation. No recovery, no fee. Initial consultations are free.
For a full overview of the firm’s nationwide representation practice, visit the California Investment Fraud Lawyers page.
Bakhtiari & Harrison also represents investors throughout Texas, including Houston, Dallas, and Fort Worth.
Frequently asked questions — Austin investment fraud lawyers
Do I need a local Austin lawyer for a FINRA arbitration claim?
Not necessarily. FINRA arbitration hearings are held at the regional hearing location nearest the claimant’s residence — not at the attorney’s office. Bakhtiari & Harrison represents investors throughout the United States and appears at FINRA hearing locations nationwide. What matters most is the attorney’s specific FINRA arbitration experience and knowledge of the claims at issue, not their physical proximity to the client.
What is the deadline to file a FINRA arbitration claim in Texas?
Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. Texas investors may also have state law claims with their own limitations periods. Contact Bakhtiari & Harrison promptly — time limits are strictly enforced and missing the deadline permanently closes the claim.
Does Bakhtiari & Harrison handle equity compensation mismanagement claims for Austin technology employees?
Yes. Austin technology employees with significant RSU, stock option, or other equity compensation who suffered losses due to broker mismanagement of those positions may have FINRA arbitration claims. Bakhtiari & Harrison has represented technology professionals in equity compensation mismanagement claims and evaluates all such claims at no charge.
Are private placement losses recoverable in FINRA arbitration?
Yes — if the private placement was recommended by a FINRA-registered broker-dealer. The claim is against the selling broker-dealer for failure to conduct adequate due diligence, misrepresentation, and unsuitable recommendation. Many Austin technology investors have suffered losses in private placements recommended by their brokers without adequate due diligence. Bakhtiari & Harrison evaluates all private placement claims at no charge.
For investors throughout Texas, visit the Texas Investment Fraud Lawyers page.
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