Miami Investment Fraud Lawyers & FINRA Attorneys
Investment fraud lawyers serving Miami and South Florida
Miami is one of the largest and most distinctive financial markets in the United States — a gateway city connecting domestic and international capital, with a large concentration of high-net-worth Latin American investors, a substantial domestic retirement-age population, and an active private investment market that has historically generated significant investment fraud. Florida consistently ranks among the top states for FINRA arbitration claims filed, reflecting both the size of its investor population and the prevalence of broker misconduct in its major markets.
Miami’s international investor community creates specific fraud vulnerabilities: unsuitable recommendations to foreign investors who may not fully understand the products being recommended, affinity fraud targeting specific cultural and national communities, and private placement fraud exploiting relationships of trust within closely-knit investor communities. Bakhtiari & Harrison has experience representing international investors in FINRA arbitration and understands the specific dynamics of Miami’s cross-border investment fraud landscape.
FINRA arbitration hearings for Miami investors are held at the Miami FINRA hearing location at 100 SE 2nd Street. Bakhtiari & Harrison represents Miami investors throughout the FINRA arbitration process.
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 Miami 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 Florida Investment Fraud Lawyers page.
Bakhtiari & Harrison also represents investors throughout Florida, including Tampa and St. Petersburg.
Frequently asked questions — Miami investment fraud lawyers
Do I need a local Miami 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 Florida?
Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. Florida 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 represent international investors in Miami?
Yes. Bakhtiari & Harrison represents international investors — including Latin American investors whose assets are managed through US-based broker-dealers — in FINRA arbitration. FINRA arbitration is available to all investors whose accounts are held at FINRA-member broker-dealers, regardless of the investor’s nationality or country of residence.
What investment fraud is most common in Miami?
Miami investors face both the standard range of broker misconduct claims and Miami-specific fraud patterns including affinity fraud targeting cultural and national communities, Ponzi schemes exploiting trust within close-knit investor networks, and unsuitable private placement recommendations to accredited investors. The city’s large retirement-age population also creates significant elder financial fraud exposure. Bakhtiari & Harrison evaluates all Miami investment fraud claims at no charge.
For investors throughout Florida, contact Bakhtiari & Harrison — the firm also represents investors in Tampa and St. Petersburg.
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