Customer Disputes – Selection of Experience Counsel is Critical
Customer disputes often arise from scenarios where lines are blurred between financial advisors and broker-dealers and the best interests of the customer. We represent individual and institutional clients across the United States, presenting their cases before the Financial Industry Regulatory Authority (FINRA), as well as its forerunners—the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE).
Bakhtiari & Harrison Represents Customers in Disputes With the Securities Industry
At Bakhtiari & Harrison, we focus on dissecting complex situations and providing client centered solutions. Our seasoned securities lawyers analyze customer documents, investment strategy and specific investment to determine whether advisor misconduct has taken place and can be defended. We use forensic services to quantify losses, distinguishing between normal market fluctuations and specific acts.
In many instances, licensed or registered persons may seek advice and counsel separate from the attorneys representing the firm. We also provide conflict free advice to individuals seeking their own attorneys under such circumstances.
Customer Disputes Oftern Include Common Securities Industry Failures
Our firm is deeply committed to providing the highest quality representation in customer disputes. We encourage potential clients and other interested parties to explore further details about our services by visiting our website or calling an attorney to discuss your potential matter.
- Asset Allocation Attorneys
- Asset Theft Attorneys
- Best Interest Standard
- Breach of Fiduciary Duty Lawyers
- Employee Stock Options Law Firm
- Excessive Activity Attorneys
- Margin Trading Law Firm
- Misrepresentations & Omissions Attorneys
- Mutual Fund Fraud Lawyers
- Over-Concentration Attorneys
- Ponzi and Pyramid Schemes Lawyers
- Private Placements Law Firm
- Suitability Attorneys
- Supervision Attorneys
- Unauthorized Trading Lawyers
Customers Disputes Arise When an Investment Product Implodes
Not surprisingly, securities products tend to be highly commissioned and rarely perform as well as traditional asset classes such as bonds, equities or cash. Many products seem easy to understand and are marketed to investors as safe alternatives to bonds or the stock market. These representations are all too often misleading and the products themselves may be baskets of risky financial instruments that most investors would never purchase. The implosion of a complex securities product often leads to a customer dispute with multiple clients of a financial service firm.
The Importance of Selection of Experienced Counsel
The retention of an attorney and law firm is an important decision made with great care in a customer dispute. 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 customer dispute arises. Also read more about The Importance of Selection of Counsel.
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 customer disputes with the securities industry are heard by FINRA arbitration panels located throughout the country. Bakhtiari & Harrison represents investors in customer disputes with the securities industry 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.