What is FINRA arbitration?

FINRA arbitration is a method of resolving disputes between investors and brokerage firms or financial advisors outside the court system. It involves a neutral third party, an arbitrator, who reviews the case and makes a binding decision.

Why choose arbitration over litigation?

Arbitration is typically faster, less formal, and more cost-effective than litigation. It also provides a final resolution to disputes, with limited grounds for appeal. Most relationships with financial advisors are formalized by entering into a contract which contains a dispute resolution clause. Nationally, most dispute resolution clauses provide for FINRA arbitration.

Who can file a FINRA arbitration claim?

Investors, brokerage firms, and financial advisors can file a FINRA arbitration claim if they have a dispute related to securities or investment activities. FINRA arbitration is normally the forum for disputes among registered persons, brokerage firms and the public customer clients of the firms.

How do I start the FINRA arbitration process?

To start the arbitration process, Bakhtiari & Harrison will file a Statement of Claim with FINRA, detailing the nature of the dispute, the parties involved, and the relief sought.

What is a Statement of Claim?

A Statement of Claim is a written document submitted by the claimant outlining the facts of the dispute, legal claims, and the desired outcome.

What happens after filing the Statement of Claim?

After filing, the respondent has 45 days to answer the Statement of Claim. The answer must address the claims and may include counterclaims or other relief sought.

What fees are involved in FINRA arbitration?

Fees include filing fees, hearing session fees, and possibly member surcharges or process fees, depending on the specifics of the case.

Can I represent myself in FINRA arbitration?

Yes, you can represent yourself, but many choose to hire an attorney with experience in securities arbitration due to the complexity of the process. Investors and industry professionals who choose to represent themselves do so at a substantial disadvantage, Wall Street firms typically retain experienced professional counsel to represent their interests.

How are arbitrators selected?

Arbitrators are selected through the Neutral List Selection System (NLSS), which provides a list of potential arbitrators. Both parties rank and strike names to agree on a panel.

What qualifications do FINRA arbitrators have?

FINRA arbitrators include attorneys, accountants, financial professionals, and public members who have undergone training and meet FINRA’s qualification standards.

How long does the arbitration process take?

The process typically takes 12-18 months from filing to the final award, but this can vary based on case complexity and scheduling. Preference may be given to investors that are seriously ill or elderly.

What is a prehearing conference?

A prehearing conference is a meeting between the parties and the arbitrators to discuss procedural issues, set a schedule, and address preliminary matters including final FINRA arbitration hearing dates.

What is discovery in arbitration?

Discovery is the exchange of documents and information between the parties to prepare for the hearing. It is more limited than in litigation.

What happens during the arbitration hearing?

During the hearing, both sides present evidence, call witnesses, and make arguments. The arbitrators then deliberate and render a decision.

Is the arbitration hearing open to the public?

No, arbitration hearings are private and confidential. Only the parties, their representatives, and the arbitrators may attend.

Can I settle my case before the hearing?

Yes, parties can settle at any time before the arbitrators render a decision, often through negotiation or mediation.

What is mediation in the context of FINRA arbitration?

Mediation is a voluntary process where a neutral mediator helps the parties negotiate a settlement. It is separate from arbitration and non-binding.

What happens if I lose in arbitration?

If you lose, the arbitrator’s decision is final and binding. There are limited grounds for challenging the award in court.

Can I appeal an arbitration decision?

Generally, you cannot appeal an arbitration decision. However, you can seek to vacate the award on very narrow grounds, such as arbitrator misconduct.

What types of disputes are resolved through FINRA arbitration?

Disputes include claims of fraud, breach of fiduciary duty, negligence, breach of contract, and other issues related to securities and investments.

How are damages determined in arbitration?

Damages are determined based on the evidence presented, including financial records, expert testimony, and the specifics of the case.

Can arbitrators award attorney’s fees?

Arbitrators can award attorney’s fees if provided for by law, contract, or if both parties request it.

How do I enforce an arbitration award?

An arbitration award can be enforced in court through a confirmation process, making it a judgment that can be collected.

What is expungement in FINRA arbitration?

Expungement is the process of removing information from a broker’s record on the Central Registration Depository (CRD) system. It is only granted under specific conditions.

What are the grounds for vacating an arbitration award?

Grounds for vacating an award include arbitrator bias, fraud, corruption, or misconduct, as well as exceeding their powers.

Are arbitration awards public?

Yes, arbitration awards are published on FINRA’s website, providing transparency and access to past decisions.

What is the role of the Office of Dispute Resolution?

The Office of Dispute Resolution administers arbitration and mediation cases, ensuring that the process runs smoothly and efficiently.

What is a Simplified Arbitration?

Simplified Arbitration is for cases involving claims of $50,000 or less, allowing for a quicker and less expensive resolution without a hearing.

Can I request an expedited hearing?

Yes, in certain circumstances, such as elderly or seriously ill parties, you can request an expedited hearing.

What is the role of an arbitrator?

An arbitrator acts as a neutral decision-maker, reviewing evidence, hearing testimony, and issuing a binding decision on the dispute.

How do I prepare for an arbitration hearing?

Preparation involves gathering evidence, preparing witnesses, and developing a clear case strategy to present to the arbitrators.

What types of evidence are admissible in arbitration?

Evidence can include documents, emails, financial records, expert reports, and witness testimony, subject to the arbitrators’ discretion.

Can I request documents from the other party?

Yes, through the discovery process, you can request relevant documents and information from the other party to support your case.

How does FINRA handle conflicts of interest with arbitrators?

FINRA requires arbitrators to disclose any potential conflicts of interest, and parties can object to arbitrators they believe are biased.

What happens if a party does not comply with discovery?

If a party does not comply, the other party can file a motion to compel, asking the arbitrators to order compliance and possibly impose sanctions.

What is a motion in arbitration?

A motion is a formal request for the arbitrators to make a ruling on a specific issue, such as compelling discovery or dismissing a claim.

Can I request interim relief in arbitration?

Yes, you can request interim relief, such as temporary restraining orders or injunctions, to preserve the status quo pending the final decision.

How are hearing locations determined?

Hearing locations are typically determined by the location of the claimant unless both parties agree to a different venue.

What is a telephonic or virtual hearing?

Telephonic or virtual hearings are conducted via phone or video conference, allowing parties to participate remotely.

How are arbitration awards paid?

Awards are typically paid by the losing party within 30 days of the decision, unless otherwise specified by the arbitrators.

What if the losing party does not pay the award?

If the losing party does not pay, you can seek enforcement through the courts, turning the award into a legally enforceable judgment.

Are there any limits on the types of claims I can bring in arbitration?

FINRA arbitration covers a broad range of claims related to securities, but there are some statutory and regulatory limits on certain types of claims.

Can I bring a class action in FINRA arbitration?

No, class actions are not permitted in FINRA arbitration. However, you can join other claimants in a single arbitration if the claims are similar.

What is the role of expert witnesses in arbitration?

Expert witnesses can provide specialized knowledge and opinions to help explain complex financial issues to the arbitrators.

How are hearing dates scheduled?

Hearing dates are scheduled based on availability of the parties and arbitrators, with consideration for the complexity of the case.

Can I request a different arbitrator if I believe one is biased?

Yes, you can challenge an arbitrator if you believe they have a conflict of interest or bias that affects their impartiality.

What is a “chairperson” in a FINRA arbitration panel?

The chairperson is the lead arbitrator who manages the procedural aspects of the case and ensures the hearing runs smoothly.

How does FINRA ensure fairness in arbitration?

FINRA has rules and procedures in place to ensure a fair and impartial process, including arbitrator training and disclosure requirements.

How do I learn more about the FINRA arbitration process?

For more information, you can visit FINRA’s website, contact their Office of Dispute Resolution, or consult with experienced attorneys like those at Bakhtiari & Harrison.

How can Bakhtiari & Harrison help with FINRA arbitration?

Bakhtiari & Harrison can assist with filing claims, responding, selecting arbitrators, discovery, hearings, and ensuring the best possible outcome through skilled representation and strategic advice.

Los Angeles FINRA Over Concentration Attorneys

Investment woes often hit hardest when investors realize their portfolios are skewed towards a single asset or sector. This practice, known as over-concentration, exposes individuals to significant risk and potential loss. Understanding how over-concentration occurs and recognizing its signs is crucial for any investor aiming to safeguard their financial future.

FINRA, the Financial Industry Regulatory Authority, plays a pivotal role in safeguarding investors against unsuitable investment practices. By enforcing regulations such as FINRA Rule 2111, FINRA ensures that brokers uphold their duty to recommend suitable investments to their clients. When investors face losses due to broker misconduct, FINRA arbitration provides a structured process for seeking redress.

In the intricate domain of securities law, the need for proficient legal representation is essential. Los Angeles FINRA Over Concentration Attorneys are invaluable in guiding clients through the nuances of arbitration. These lawyers adeptly handle cases involving over-concentration, assisting investors in comprehending their legal rights and pursuing positive results when addressing unsuitable investment guidance. This article explores the complexities of over-concentration, the pivotal role of FINRA, and highlights the critical importance of having experienced legal advocates to protect investor interests.

Table of Contents

The Role of Over-Concentration in Investment Loss

Investing can be a great way to grow your wealth, but it also comes with risks. One common risk many investors face is over-concentration. Over-concentration happens when a large portion of your investment portfolio is tied up in a single asset or similar types of assets. This can make your portfolio unstable and more susceptible to sudden market changes. When markets turn, over-concentration can lead to significant losses. Investors need to be aware of this risk and take steps to diversify their portfolios. Financial advisors and attorneys can help investors manage and reduce this risk.

Over-concentration in a portfolio is a risk that arises not only when a significant portion of assets is allocated to a single security but also when investments are heavily concentrated in a particular sector or industry. This lack of diversification in investment allocation can expose investors to significant financial harm. When a portfolio’s assets are predominantly tied to a single sector, it is more vulnerable to economic, regulatory, or geopolitical changes that can lead to substantial market fluctuations.

Such risks are particularly concerning for investors relying on securities firms for guidance, as these advisors are expected to mitigate potential threats through diversification strategies. Even if a portfolio includes multiple securities, if they all belong to the same sector, the portfolio’s overall stability is compromised. Therefore, achieving prudent asset management requires diversifying across a wide range of sectors and industries, thereby reducing risks and aligning with sound investment strategies.

Understanding Over-Concentration

Over-concentration refers to having too much of your investment tied to one area, like a single stock or sector. It can happen when investors believe strongly in the success of one particular investment. While it’s normal to have confidence in an asset, over-concentration ignores the basic principles of diversification. A well-diversified portfolio usually includes a mix of different asset types, such as stocks, bonds, and real estate. This spreads out risk and can help soften the blow if one investment performs poorly. Investors should regularly review their portfolio’s allocation to keep it balanced and aligned with their risk tolerance and investment objectives.

Common Causes of Over-Concentration

Several factors can lead to over-concentration in an investment portfolio. One key cause is a lack of knowledge or understanding of diversification strategies. Investors might also over-concentrate when they receive poor advice, such as from a financial advisor who fails to consider their full financial picture. Another common cause is the emotional attachment to a particular company or sector. For instance, if investors work in the tech industry, they might heavily invest in tech stocks. Finally, a failure to supervise or a financial adviser not fulfilling their fiduciary duty can result in this risky scenario. By being aware of these causes, investors can better protect their financial health.

Recognizing Signs of Over-Concentration

To effectively manage over-concentration, investors need to first identify its warning signs. A key indicator is when a single asset or sector occupies a sizable portion of your portfolio, such as having more than 10% invested in one stock. This imbalance can be problematic. Additionally, if small market fluctuations result in substantial changes to your portfolio’s value, it may suggest a lack of diversification. A varied mix of asset classes is crucial for maintaining a balanced investment profile and achieving long-term investment goals.

Furthermore, unexpected negative performance or unauthorized trading activities by a broker could also highlight an over-concentration issue. Conducting regular portfolio reviews and staying in frequent communication with a dependable financial adviser can assist in detecting these problems early and implementing necessary adjustments to align with your investment goals and overall investment profile.

FINRA’s Role and Regulations

The Financial Industry Regulatory Authority (FINRA) is a key player in overseeing the securities industry. It aims to protect investors by ensuring fair practices by brokerage firms and investment professionals. FINRA sets rules and regulations to maintain transparency and fairness in the financial market. They ensure brokers and financial advisors act in the best interest of their clients and meet all regulatory standards. By doing so, FINRA helps to foster trust in financial transactions, aiding in the smooth operation of the financial market. Investors can feel more secure knowing that FINRA monitors and regulates practices to minimize misconduct and maximize protection.

Overview of FINRA Rule 2111 (Suitability)

FINRA Rule 2111 outlines the obligations brokers have to ensure that their recommended investments are suitable for their clients. This rule is crucial for safeguarding investor interests. It requires brokers to consider several factors about their clients, including risk tolerance, investment objectives, and financial status. This ensures that any proposed investment aligns with the investor’s needs and goals. By adhering to Rule 2111, brokers are encouraged to prioritize the financial well-being of their clients over their own gain. This suitability obligation is fundamental in preserving investor trust and maintaining ethical standards in the securities industry.

Obligations of Brokers Under FINRA

According to FINRA’s guidelines, brokers bear vital responsibilities to uphold ethical practices and protect investor interests. Central to these duties is the “know-your-customer” principle, necessitating brokers to have a deep understanding of their clients’ financial aspirations, risk tolerance, and investment goals. This detailed insight is crucial for crafting tailored investment strategies that align precisely with client circumstances. Additionally, brokers must prevent unauthorized trading and verify the suitability of every transaction. Another critical aspect involves risk management and exit planning. Given the unpredictability of markets, what strategy will be employed if a portfolio or security loses value? At what point should adjustment measures take place if the portfolio declines?

How FINRA Protects Investors

FINRA serves as a safeguard for investors, taking proactive measures to protect them from financial misconduct. It conducts regular audits of brokerage firms to ensure compliance with regulatory standards. When disputes arise, FINRA facilitates arbitration hearings, offering a structured process to resolve conflicts. They also enforce rules on stop loss orders and diversification to prevent excessive investment risks. FINRA upholds transparency and integrity in the financial services industry by monitoring broker activities and penalizing violations. This vigilant oversight helps prevent broker misconduct, thus securing a fair environment for all investors.

The FINRA Arbitration Process

Los Angeles FINRA Over Concentration Attorneys focus on the alternative dispute resolution process facilitated by the Financial Industry Regulatory Authority (FINRA). This arbitration method is commonly used in the securities industry to resolve conflicts between investors and financial institutions effectively. Typically, when investors open an investment account, they enter into a FINRA arbitration agreement. This approach is designed to handle disputes related to issues such as investment losses, broker misconduct, or unauthorized trading activities.

While the arbitration process is less formal than traditional court proceedings, it is nevertheless legally binding. Investors frequently seek the experience of Los Angeles FINRA Over Concentration Attorneys to safeguard their interests, ensuring professional guidance through each stage of arbitration to achieve the best possible outcome.

Steps to Initiate FINRA Arbitration

Starting FINRA arbitration involves several key steps. First, the aggrieved party must file a statement of claim. This document outlines the dispute and the relief sought. It’s crucial to include the broker misconduct or other issues like failure to diversify investments. Next, the respondent, usually a brokerage firm or financial advisor, receives the claim and responds. At this stage, both sides may exchange documents to support their cases. Engaging a skilled lawyer can be invaluable during this phase. They can help organize evidence and ensure that all necessary documents are appropriately filed. The goal is to establish a solid foundation for the upcoming arbitration hearings.

What to Expect During Arbitration

Once the process begins, both parties present their cases to an arbitration panel. This panel typically consists of one to three arbitrators. These arbitrators review the evidence and listen to testimonies from both sides. Proceedings resemble a court case but are generally more informal. Each party has the opportunity to question witnesses and present their arguments. The panel seeks to understand complex issues such as investment objectives or risk management failures. With extensive experience, a FINRA lawyer can effectively argue a client’s case. After the hearing concludes, the panel deliberates. A decision is made based on the presented facts and applicable regulations.

Possible Outcomes of Arbitration

Arbitration can lead to several outcomes. The arbitration panel may award the claimant damages for financial losses. These damages could include compensatory payouts for investment losses and, occasionally, punitive damages. Alternatively, the panel might reject the claimant’s case, resulting in no award. Sometimes, the panel orders specific actions such as stopping unauthorized trading. FINRA’s decision is normally final and legally binding, with limited chances for appeal. Investors should understand that arbitration seeks to address their concerns but does not guarantee a favorable outcome. A knowledgeable FINRA arbitration lawyer can help improve the likelihood of a positive result through a scholarly presentation of the case.

Importance of Legal Representation

In the intricate realm of investments and securities, securing legal representation is crucial. Investors in Los Angeles may suffer substantial financial losses from broker misconduct, unsuitable investments, or over-concentration issues. Los Angeles FINRA Over Concentration Attorneys offer essential guidance and protection of your interests. They possess a deep understanding of the securities industry and FINRA arbitration rules. These legal professionals ensure that your rights are defended during disputes, and they can skillfully articulate your grievances to an arbitration panel. With capable legal advocacy, you are more likely to secure a favorable outcome if your financial adviser has failed to fulfill their fiduciary obligations.

Key Attributes of a Competent Securities Attorney

A competent securities attorney possesses several key attributes. They have extensive experience in the financial services industry and a thorough knowledge of FINRA regulations. Understanding client needs, such as investment objectives and risk tolerance, is crucial. Moreover, they should excel in communication, guiding clients clearly through the arbitration process. They also play a crucial role in risk management and identifying broker misconduct. Effective legal counsel will scrutinize investment portfolios for signs of over-concentration or unsuitable investments. By ensuring brokers adhere to the “know-your-customer” rule and other regulations, attorneys can better protect clients from financial losses.

How Attorneys Navigate FINRA Regulations

Navigating FINRA regulations requires a precise understanding of the rules governing the securities industry. Attorneys first review the specific circumstances of each case, identifying violations such as unauthorized trading or failure to supervise. They then build a strategy focused on the suitability of investments and potential breaches of fiduciary duty. Attorneys actively participate in arbitration hearings, presenting evidence and advocating for their clients. Their goal is to achieve justice and possibly punitive damages. Skilled attorneys negotiate with brokerage firms, seeking resolutions that minimize losses and protect financial goals. By efficiently managing the arbitration process, attorneys help ensure their clients’ investment advisors are held accountable.

Notable Legal Los Angeles FINRA Over Concentration Attorneys

Bakhtiari & Harrison

Bakhtiari & Harrison is known for its extensive experience in securities law. They focus on investor rights and help clients facing investment losses due to financial advisor misconduct. Their team is skilled in handling cases involving failure to supervise and broker misconduct. The firm often deals with issues such as breach of fiduciary duty, unsuitable investments, failure to follow customers’ risk tolerance and investment objectives, and unauthorized trading. They guide clients through FINRA arbitration and act swiftly to protect financial goals. Clients can rely on them for thorough knowledge and dedication to achieving favorable outcomes in arbitration hearings and legal actions.

Bakhtiari & Harrison help clients navigate the often-confusing world of financial transactions and investment portfolios. They provide advice on risk management and the suitability of private placements. The investment fraud firm is recognized for its ability to handle cases involving excessive trading and stop loss orders. By offering legal guidance, they focus on achieving positive outcomes in the arbitration process. Their experience helps clients recover their investments from financial losses.

Benefits of Securing Skilled Legal Assistance

Securing skilled legal assistance, especially in the complex world of investments, is crucial for anyone facing financial challenges. Lawyers at Bakhtiari & Harrison have the experience in securities law to navigate the tricky waters of financial regulations. They bring valuable insights into different areas, from FINRA arbitration to brokerage firms’ practices. With the right legal aid, you can ensure that you are dealing with your situation in the best way possible. They help protect your financial interests while ensuring compliance with legal standards. Partnering with knowledgeable legal advisors can be the key to achieving a favorable outcome.

Addressing Investment Fraud Efficiently

Investment fraud can severely affect your financial well-being, making it essential to tackle these issues promptly with professional assistance. The team at Bakhtiari & Harrison is well-versed in recognizing the deceptive practices employed in such fraudulent activities. They are adept at crafting strategies to not only combat fraud but also avert additional financial losses. When faced with unauthorized trading or unsuitable investments, having Bakhtiari & Harrison by your side is invaluable. They conduct thorough analyses of each case to establish any misconduct and vigorously defend your rights. By taking swift and measured action, you can mitigate the adverse effects of fraud and secure your financial future.

Ensuring Protection of Investor Rights

Protecting investor rights is essential for maintaining trust within financial markets. Legal professionals, such as those at Bakhtiari & Harrison, play a vital role in ensuring fair treatment for investors. These skilled lawyers help clients comprehend their rights and the obligations of financial advisors. They advocate on your behalf in cases involving broker misconduct or failure to diversify portfolios. With a strong focus on the fiduciary duty of financial advisers, Bakhtiari & Harrison ensures compliance with both legal and ethical standards. Having their dedicated legal team by your side guarantees that your rights are protected at all times, aiding in the achievement of your financial objectives.

Financial Recovery through Legal Action

When you face financial losses due to improper conduct, prioritizing recovery is crucial. Turning to legal action may be essential in reclaiming what is rightfully yours. Bakhtiari & Harrison, a law firm with extensive experience in this sector, can help you construct a robust case. Their team will meticulously gather evidence, navigate the arbitration process, and present your situation with persuasive clarity. With a well-crafted legal strategy, you could secure punitive damages or achieve financial compensation. By engaging the services of Bakhtiari & Harrison, you enhance your prospects of recovering lost assets and safeguarding your financial future.

Importance of FINRA Arbitrator Selection – Los Angeles

When a FINRA arbitration matter is initiated, the process is designed to be accessible and localized for the claimant. For cases filed in Los Angeles County and surrounding counties, the hearings will be held at FINRA’s downtown Los Angeles office, ensuring convenience for local parties. Once the case is assigned to this office, FINRA provides a list of potential arbitrators from the Los Angeles pool, and the parties engage in a rank-and-strike process to select the panel. This step is critical, as the chosen arbitrators will heavily influence the outcome based on their perspectives and decision-making tendencies.

Having experienced Los Angeles FINRA over-concentration attorneys by your side is invaluable in this process. These attorneys possess deep familiarity with the local pool of FINRA arbitrators, giving them insight into which ones to rank highly and which to strike based on past rulings, biases, or expertise. Their knowledge of the arbitrators’ tendencies can strategically shape the panel to favor your case. Moreover, seasoned attorneys who have handled numerous arbitration cases in Los Angeles bring a level of respect and credibility with the arbitrators, enhancing their ability to advocate effectively. This combination of local experience and established reputation can make a significant difference in navigating the arbitration process and achieving a favorable resolution.

Bakhtiari & Harrison stands out as a premier choice for investors seeking representation in FINRA arbitrations in Los Angeles, backed by the exceptional experience of Ryan Bakhtiari and David Harrison. Together, they bring over 50 years of cumulative knowledge and proficiency in handling FINRA arbitration cases in the region, a testament to their deep understanding of the local arbitration landscape. Their extensive track record equips them with unparalleled knowledge of the Los Angeles FINRA arbitrator pool, allowing them to skillfully navigate the rank-and-strike process to secure favorable panels for their clients.

Having represented countless investors in complex disputes, Bakhtiari and Harrison have earned a reputation for credibility and respect among arbitrators, enhancing their ability to advocate effectively. With decades of proven success, Bakhtiari & Harrison offer the strategic insight and seasoned perspective investors need to confidently pursue their claims in Los Angeles FINRA arbitrations.

Case Examples: Successful Legal Interventions

Successful legal interventions by Bakhtiari & Harrison in investment cases underscore the critical role of knowledgeable legal advocacy. One notable case involved an investor who suffered substantial losses due to excessive trading. Through the adept representation by Bakhtiari & Harrison, the client was able to recover damages by effectively arguing the broker’s failure to diversify or employ stop-loss orders. In another complex case, the team tackled unauthorized trading that resulted in severe financial setbacks.

The attorneys at Bakhtiari & Harrison successfully demonstrated broker misconduct, securing much-needed compensation for their client. Their ability to navigate intricate private placements and complex financial transactions showcases how they uncover evidence of broker negligence. With their profound proficiency in securities law, Bakhtiari & Harrison ensure that clients receive the compensation they deserve, thereby restoring their trust in the financial advisory process.

Take Action – Contact Bakhtiari & Harrison

If you are facing investment losses due to over-concentration or other issues, it might be time to seek help. Bakhtiari & Harrison focuses on investment fraud cases and offer a free consultation to evaluate your situation.

Reasons to Contact Bakhtiari & Harrison:

Experienced Lawyers: Extensive knowledge in the securities industry.
FINRA Arbitration: Skilled in navigating arbitration procedures.
Risk Assessment: Experienced in assessing risk tolerance and suitability.
Diverse Services: Handle cases like unauthorized trading and failure to diversify.

Handling issues such as negligence from financial advisors or failures to supervise, Bakhtiari & Harrison provide the necessary legal support. The firm understands the importance of an investment portfolio aligned with your financial objectives.

Why Choose Us	Services Offered
Experienced	FINRA Arbitration
Knowledgeable	Assessing Investment Suitability
Supportive	Legal Action Against Misconduct

Los Angeles investors who have suffered financial losses due to fraud or misconduct should reach out to Bakhtiari & Harrison for legal assistance. Our attorneys have extensive experience representing clients in securities disputes across California, including Los Angeles, Beverly Hills, Pacific Palisades, Pasadena, and more.

Don’t let unauthorized trading or unsuitable investments go unchecked. Contact Bakhtiari & Harrison today for a thorough assessment of your case and learn your rights in the arbitration process. Secure your financial future with superior legal guidance.