Colorado Investment Fraud Lawyers & FINRA Attorneys
Investment fraud lawyers serving investors throughout Colorado
Colorado has one of the fastest-growing investor populations in the country — driven by Denver’s technology and financial services boom, the state’s significant energy industry wealth, an influx of high-net-worth residents relocating from coastal markets, and a large and growing retirement community. The combination of new technology wealth, energy industry investment assets, and retirement savings creates the full spectrum of investment fraud exposure that generates FINRA arbitration claims.
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 and a breach of the duty of care.
- 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.
Colorado cities — investment fraud lawyers near you
Bakhtiari & Harrison represents investors throughout Colorado. For city-specific information visit the Aurora, Colorado Springs, Denver, Fort Collins, Lakewood pages. The firm also represents investors throughout Colorado including Pueblo, Boulder, and all other Colorado communities.
Colorado securities law — additional investor protections
Colorado investors have access to claims under the Colorado Securities Act in addition to federal securities law. Colorado Revised Statutes Section 11-51-501 prohibits misrepresentations and omissions of material fact in connection with the sale of securities and provides for rescission — allowing investors to recover their original investment plus interest. The Colorado Consumer Protection Act (Section 6-1-105) provides additional remedies for deceptive conduct in securities transactions.
Bakhtiari & Harrison evaluates Colorado state law claims alongside federal and FINRA claims for Colorado investors — identifying the combination most likely to maximize recovery in each case.
Colorado energy and technology investment fraud
Colorado’s economy combines significant energy industry wealth with a rapidly growing technology sector — creating specific investment fraud patterns that the firm has addressed in FINRA arbitration. Energy investors face oil and gas program fraud, MLP misrepresentation, and energy sector overconcentration. Technology investors in Denver and Boulder face equity compensation mismanagement and private placement fraud targeting accredited investors in the startup community. Bakhtiari & Harrison evaluates all Colorado investment fraud claims at no charge.
Why choose Bakhtiari & Harrison as your Colorado 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.
- State bar admission. Ryan Bakhtiari is admitted in Texas, New York, and the District of Columbia in addition to California — giving investors in these states direct access to admitted counsel.
- FINRA hearings near you. FINRA arbitration hearings are held at the regional location nearest the claimant — investors do not need to travel to California.
- Contingency fee representation. No recovery, no fee. Initial consultations are free.
Frequently asked questions — Colorado investment fraud lawyers
What is the deadline to file a FINRA arbitration claim in Colorado?
Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. Colorado investors may also have state law claims under the Colorado Securities Act with their own limitations periods. Contact Bakhtiari & Harrison promptly.
Where are FINRA arbitration hearings held for Colorado investors?
FINRA arbitration hearings for Colorado investors are held at the Denver FINRA hearing location. Bakhtiari & Harrison represents Colorado investors throughout the FINRA arbitration process.
Does Bakhtiari & Harrison represent investors throughout Colorado — not just in Denver?
Yes. Bakhtiari & Harrison represents investors throughout Colorado — in Denver, Colorado Springs, Aurora, Fort Collins, Boulder, Pueblo, Lakewood, and every other Colorado community. FINRA arbitration hearings are held near the claimant’s residence, so distance from Denver is never a barrier to representation.
Contact our Colorado 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