Houston Investment Fraud Lawyers & FINRA Attorneys
Investment fraud lawyers serving Houston and Texas
Houston is one of the largest financial markets in the United States — home to a substantial concentration of energy industry wealth, major brokerage operations, and a large community of high-net-worth investors whose assets are frequently targeted by unsuitable investment recommendations and fraudulent private placements. The energy sector creates specific investment fraud vulnerabilities: oil and gas program fraud, master limited partnership misrepresentation, and private placement schemes targeting accredited investors with energy-related investment vehicles.
Bakhtiari & Harrison represents Houston investors in FINRA arbitration at the Houston FINRA hearing location at 1980 Post Oak Blvd. Ryan Bakhtiari is admitted to practice in Texas and in multiple federal courts, giving Houston investors direct access to experienced local-bar counsel for both FINRA arbitration and 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.
Texas securities law and FINRA arbitration for Houston investors
Texas investors have access to claims under the Texas Securities Act in addition to federal securities law. The Texas Securities Act prohibits fraud in connection with the offer or sale of securities and provides for rescission — allowing investors to recover their original investment plus interest. Bakhtiari & Harrison evaluates Texas state law claims alongside federal and FINRA claims for Houston investors.
Why choose Bakhtiari & Harrison as your Houston 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 Dallas, Fort Worth, and Austin.
Frequently asked questions — Houston investment fraud lawyers
Do I need a local Houston 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 have Texas bar admission?
Yes. Ryan Bakhtiari is admitted to practice in Texas and in multiple federal courts including the Southern District of Texas, which covers Houston. This means Houston investors have direct access to Texas-admitted counsel for both FINRA arbitration and federal court securities litigation.
What investment fraud is most common in Houston?
Houston investors face specific fraud risks tied to the energy sector — oil and gas program fraud, MLP misrepresentation, and private placement fraud targeting accredited energy-industry investors. General investment fraud patterns including unsuitable recommendations, variable annuity abuse, and broker churning are also prevalent. Bakhtiari & Harrison evaluates all Houston investment fraud 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