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Massachusetts Investment Fraud Lawyers & FINRA Attorneys

Written and reviewed by

Ryan Bakhtiari, Partner — Bakhtiari & Harrison

Admitted: CA | NY | TX | DC | Multiple Federal Courts · Super Lawyers 2005–2026 · Former PIABA President · Former FINRA NAMC Chairman · Last reviewed: May 2026

Massachusetts investment fraud lawyers at Bakhtiari & Harrison represents investors throughout Boston, Worcester, Springfield, Cambridge, Lowell, and surrounding communities — in FINRA arbitration and securities litigation. Massachusetts is home to one of the most significant financial centers in the United States, a world-class biotechnology and technology industry, and major institutional investment operations whose employees, clients, and advisers represent a large and sophisticated investor community. Ryan Bakhtiari served as Chairman of the FINRA National Arbitration and Mediation Committee from 2013 to 2017 and as President of PIABA. The firm has recovered more than $250 million for clients over four decades. Investor cases are handled on a contingency fee basis — no recovery, no fee.

Investment fraud lawyers serving Massachusetts — statewide

Massachusetts has one of the most diverse and sophisticated investor populations in the country. Greater Boston’s concentration of major financial institutions, biotechnology companies, and technology firms has created a large community of high-net-worth professionals whose investment assets — including significant equity compensation from publicly traded companies — are managed through national broker-dealer networks that generate consistent FINRA arbitration claims. Western Massachusetts, the Pioneer Valley, and Worcester County represent a separate investor community with significant retirement wealth and a history of suitability and elder fraud claims.

Bakhtiari & Harrison represents Massachusetts investors statewide and has done so for years. FINRA arbitration hearings are held at the venue nearest the claimant’s residence.

Massachusetts communities we serve

Bakhtiari & Harrison represents investors throughout Massachusetts — including Boston, Worcester, Springfield, Cambridge, Lowell, Brockton, Quincy, Lynn, New Bedford, Fall River, Newton, Somerville, Lawrence, Framingham, Haverhill, Waltham, Malden, Brookline, Plymouth, Medford, Taunton, and all other Massachusetts communities across Middlesex, Worcester, Essex, Suffolk, Norfolk, Bristol, Plymouth, Barnstable, Hampden, Hampshire, Franklin, and Berkshire Counties.

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.
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.

Massachusetts securities law — additional investor protections

Massachusetts investors have access to claims under Massachusetts General Laws Chapter 110A — the Massachusetts Uniform Securities Act — in addition to federal securities law. Chapter 110A prohibits fraud in connection with the offer or sale of securities and provides for rescission, allowing investors to recover their original investment plus interest. The Massachusetts Consumer Protection Act (Chapter 93A) provides additional remedies for unfair and deceptive business practices in connection with securities transactions, including the potential for double or treble damages and attorneys’ fee recovery in cases of willful violation.

Why choose Bakhtiari & Harrison as your Massachusetts 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.
FINRA hearings near you. FINRA arbitration hearings are held at the venue nearest the claimant’s residence.
Contingency fee representation. No recovery, no fee. Initial consultations are free.

Frequently asked questions — Massachusetts investment fraud lawyers

Do I need a local Massachusetts attorney for a FINRA arbitration claim?

Not necessarily. FINRA arbitration hearings are held at the venue nearest the claimant’s residence. Bakhtiari & Harrison represents investors throughout Massachusetts and nationwide. What matters most is the attorney’s specific FINRA arbitration experience and knowledge of the claims at issue.

What is the deadline to file a FINRA arbitration claim in Massachusetts?

Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. Massachusetts investors may also have state law claims under the Massachusetts Uniform Securities Act with their own limitations periods. Contact Bakhtiari & Harrison promptly — time limits are strictly enforced.

What investment fraud is most common in Massachusetts?

Massachusetts investors face the full range of broker misconduct claims, with specific patterns around equity compensation mismanagement for biotechnology and technology professionals, private placement fraud targeting accredited investors in Greater Boston’s innovation economy, and unsuitable alternative investment recommendations. Variable annuity abuse and elder financial fraud are prevalent throughout the state’s substantial retirement-age population. Bakhtiari & Harrison evaluates all Massachusetts investment fraud claims at no charge.

Does Bakhtiari & Harrison represent investors throughout Massachusetts including Western Massachusetts?

Yes. Bakhtiari & Harrison represents investors throughout Massachusetts — in Greater Boston, Worcester, the Pioneer Valley including Springfield, the Merrimack Valley including Lowell and Lawrence, Cape Cod, and all other Massachusetts communities. FINRA arbitration hearings are held at the venue nearest the claimant’s residence.

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