Philadelphia Investment Fraud Lawyers & FINRA Attorneys
Investment fraud lawyers serving Philadelphia and the Delaware Valley
Philadelphia is a major financial center — home to significant institutional money management, large brokerage operations, and a substantial individual investor community across the Delaware Valley region including suburban Philadelphia, South Jersey, and Delaware. The Philadelphia area’s large population of retirees and near-retirees, combined with its proximity to the New York financial industry corridor, creates consistent exposure to the full spectrum of broker misconduct that Bakhtiari & Harrison prosecutes in FINRA arbitration nationwide.
FINRA arbitration hearings for Philadelphia investors are held at the Philadelphia FINRA hearing location. Bakhtiari & Harrison represents Philadelphia investors throughout the FINRA arbitration process and in federal court.
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.
Why choose Bakhtiari & Harrison as your Philadelphia 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 regional hearing location nearest the claimant — investors do not need to travel.
- Contingency fee representation. No recovery, no fee. Initial consultations are free.
Bakhtiari & Harrison also represents investors throughout Pennsylvania, including Pittsburgh. For statewide Pennsylvania coverage visit the Pennsylvania Investment Fraud Lawyers page.
Frequently asked questions — Philadelphia investment fraud lawyers
Do I need a local Philadelphia attorney for a FINRA arbitration claim?
Not necessarily. FINRA arbitration hearings are held at the regional location nearest the claimant — not at the attorney’s office. Bakhtiari & Harrison represents investors nationwide and appears at FINRA hearing locations throughout the country. What matters most is the attorney’s specific FINRA arbitration experience, not their physical proximity.
What is the deadline to file a FINRA arbitration claim in Pennsylvania?
Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. Pennsylvania investors may also have state law claims with their own limitations periods. Contact Bakhtiari & Harrison promptly — deadlines are strictly enforced.
What investment fraud is most common in Philadelphia?
Philadelphia investors face the full range of broker misconduct claims — unsuitable recommendations, variable annuity abuse, non-traded REIT fraud, churning, and elder financial fraud targeting the region’s large retirement-age population. Philadelphia’s proximity to the New York financial corridor also means its investors are frequently sold the same complex structured products and alternative investments that generate claims in the New York market. Bakhtiari & Harrison evaluates all Philadelphia investment fraud claims at no charge.
Does Bakhtiari & Harrison represent investors throughout the Delaware Valley?
Yes. Bakhtiari & Harrison represents investors throughout the Philadelphia metropolitan area including Delaware County, Montgomery County, Chester County, Bucks County, and South Jersey communities such as Cherry Hill, Moorestown, and Haddonfield. FINRA arbitration hearings for Pennsylvania investors are held at the Philadelphia FINRA hearing location.
For investors throughout Pennsylvania, Bakhtiari & Harrison also represents investors in Pittsburgh.
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