Dallas Investment Fraud Lawyers & FINRA Attorneys
Investment fraud lawyers serving Dallas and the DFW Metroplex
Dallas is the financial capital of Texas and one of the largest investment markets in the country. The Dallas-Fort Worth Metroplex is home to major financial institutions, a large and sophisticated investor community, and a substantial concentration of high-net-worth individuals whose assets are managed through national broker-dealer networks. The same patterns of broker misconduct that generate FINRA arbitration claims in New York and Los Angeles are equally prevalent in Dallas — unsuitable product recommendations, private placement fraud, churning, and failure to supervise.
Bakhtiari & Harrison represents Dallas investors in FINRA arbitration at the Dallas FINRA hearing location at 12801 N Central Expressway. Ryan Bakhtiari is admitted in Texas, giving Dallas investors direct access to Texas-admitted counsel for federal court litigation where arbitration is not available.
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.
Why choose Bakhtiari & Harrison as your Dallas 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.
- Contingency fee representation. No recovery, no fee. Initial consultations are free.
For a full overview of the firm’s nationwide representation practice, visit the Texas Investment Fraud Lawyers page.
Bakhtiari & Harrison also represents investors throughout Texas, including Houston, Fort Worth, and Austin.
Frequently asked questions — Dallas investment fraud lawyers
Do I need a local Dallas 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.
Where are FINRA arbitration hearings held for Dallas investors?
FINRA arbitration hearings for Dallas investors are held at the Dallas FINRA hearing location at 12801 N Central Expressway, Dallas, TX 75243. Bakhtiari & Harrison appears at the Dallas FINRA hearing location and represents Dallas investors throughout the arbitration process.
What is the most common investment fraud in Dallas?
Dallas investors face the full range of broker misconduct claims — unsuitable recommendations, private placement fraud, variable annuity abuse, churning, and overconcentration. The DFW Metroplex’s large concentration of real estate investors also creates exposure to non-traded REIT and TIC investment fraud. Bakhtiari & Harrison evaluates all Dallas investment fraud claims at no charge.
For investors throughout Texas, visit the Texas Investment Fraud Lawyers page.
Contact our Dallas 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