Investment Loss Lawyers — Bakhtiari & Harrison

Nationwide Representation for Investors

Bakhtiari & Harrison are investment loss lawyers and FINRA attorneys representing investors nationwide in FINRA arbitration and securities litigation. If a stockbroker, financial advisor, or brokerage firm caused you to suffer losses through misconduct, negligence, or fraud, you may be able to recover investment losses. Over four decades, the firm has recovered more than $250 million for clients. Ryan Bakhtiari served as Chairman of the FINRA National Arbitration and Mediation Committee and as President of PIABA, and has been a Super Lawyer every year from 2005 to 2026. Partner David Harrison is a former New York City assistant district attorney and former Morgan Stanley in-house counsel who began his career as a Series 7-licensed registered representative at Shearson Lehman Brothers and has been a Super Lawyer every year from 2015 to 2026. Investor cases are handled on a contingency fee basis — no recovery, no fee. Initial consultations are free.

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Common Causes of Investment Losses We Handle

Not every investment loss is the result of wrongdoing. Markets move, and even a well-built investment portfolio can suffer losses in a downturn. But when a stockbroker, investment advisor, or brokerage firm breaches its fiduciary duties or its duty to act in your best interest, those losses may be recoverable. Our investment loss attorneys investigate the full range of causes behind an investor’s losses, including:

• Unsuitable investment recommendations that ignore an investor’s age, risk tolerance, or financial goals, in violation of FINRA Rule 2111 and Regulation Best Interest
• Breach of fiduciary duty by a registered investment advisor who fails to act in a client’s best interest
• Misrepresentation or omission of material facts about an investment product or strategy
• Ponzi scheme and other fraudulent investment products
• Selling away, meaning unauthorized private placement or private securities transactions conducted outside a brokerage firm’s approved product list
• Churning or excessive trading designed to generate commissions rather than investment returns
• Overconcentration in a single stock, sector, or hedge fund that leaves an investment portfolio exposed to unnecessary risk
• Broker misconduct, including unauthorized trading and a firm’s failure to supervise its registered representatives

How Does an Investment Loss Attorney Help You Recover Investment Losses?

An investment loss attorney starts by reviewing account statements, trade confirmations, and communications with the broker or advisor to determine whether your losses stem from ordinary market risk or from misconduct. Where the evidence supports a claim, our attorneys build the fraud claims, calculate damages, and pursue recovery through FINRA arbitration or, where arbitration doesn’t apply, through litigation in state and federal court.

Investors who suffer losses because a brokerage firm failed to supervise its registered representatives or because of a broker’s outright fraud may have claims against the firm itself and not just the individual broker. Our Securities Litigation Lawyers page covers how this works when a case moves into court.

The FINRA Arbitration Process for Recovering Losses

Many disputes between customers and FINRA-member firms are subject to predispute arbitration clauses, but whether FINRA arbitration applies depends on the parties, agreement, claims, and applicable rules.

FINRA’s eligibility rules generally bar claims from arbitration when six years have elapsed from the occurrence or event giving rise to the claim, subject to the rule, the facts, and the panel’s determination. Separate statutes of limitation may apply and may be shorter. Our attorneys guide clients through each stage of a FINRA arbitration claim, from the statement of claim through the arbitration hearing. For a full walkthrough of what to expect, see The Real Step-by-Step FINRA Arbitration Process.

Stock Losses Lawyers: Is Your Loss a Result of Broker Misconduct?

Telling the difference between a loss caused by market volatility and a loss caused by misconduct is usually the first question an investor asks. As a stock losses lawyer, our firm looks for specific warning signs: a portfolio overconcentrated in a single stock or hedge fund, trading activity you never authorized, or a financial advisor who recommended a private securities transaction without properly disclosing its risk.

Broker-dealers and associated persons making recommendations to retail customers are subject to Regulation Best Interest. Investment advisers are generally subject to a fiduciary duty under the Investment Advisers Act. The duties and available claims depend on the professional’s role and the facts. When a broker or advisor breaches those duties, victims of investment fraud have legal options under state securities laws and federal securities laws, including the Securities Act of 1933 and the Securities Exchange Act of 1934.

Why Investors Choose Bakhtiari & Harrison as Their Investment Loss Attorney

Bakhtiari & Harrison has recovered more than $250 million for clients over four decades of representing investors in securities fraud cases and FINRA arbitration.

Firm partner Ryan Bakhtiari served as Chairman of FINRA’s National Arbitration and Mediation Committee from 2013 to 2017, the body that writes the rules governing FINRA arbitration. Partner David Harrison is a former New York City assistant district attorney and former in-house counsel at Morgan Stanley.

The firm’s attorneys have been recognized by Super Lawyers, and the firm holds a Martindale-Hubbell AV Peer Rating for the highest level of professional excellence. All investor cases are handled on a contingency fee basis. No recovery, no fee, and initial consultations are free.

Speak with an Investment Loss Attorney today. Free consultation. Contingency fee basis, no recovery, no fee. Call (800) 382-7969.

Frequently Asked Questions