Riverside Investment Fraud & FINRA Attorneys
Investment fraud lawyers serving Riverside and the Inland Empire
Riverside is the seat of Riverside County — one of the fastest-growing counties in California and home to a large and growing population of working professionals, retirees, and business owners whose investment assets are managed through the same national brokerage networks that serve investors throughout the country. The same broker misconduct patterns seen in Los Angeles and Orange County — unsuitable product recommendations, churning, overconcentration, and private placement fraud — are prevalent throughout the Inland Empire.
Bakhtiari & Harrison is headquartered in Studio City and represents investors throughout Southern California including Riverside, San Bernardino, Corona, Moreno Valley, Ontario, Rancho Cucamonga, and the broader Inland Empire region. FINRA arbitration hearings for Riverside investors are held at the Los Angeles FINRA hearing location at 300 South Grand Avenue.
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.
California securities law — additional protections for Riverside investors
California investors have access to remedies under the California Corporate Securities Law of 1968 in addition to federal securities law. California Corporations Code § 25401 prohibits misrepresentations and omissions in connection with securities transactions and does not require proof of intent to deceive — making California state law claims easier to prove than federal fraud claims in many cases. California § 25501 provides a rescission remedy, allowing investors to recover their original investment plus interest.
For elderly Riverside investors (age 65 or older), California Welfare & Institutions Code § 15657.5 provides additional remedies including treble damages and recovery of attorneys’ fees when financial elder abuse is proven with recklessness, oppression, fraud, or malice.
Why choose Bakhtiari & Harrison as your Riverside 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. Riverside investors are not required to travel to California for their hearings.
- Contingency fee representation. No recovery, no fee. Initial consultations are free.
For a full overview of the firm’s nationwide representation practice, visit the California Investment Fraud Lawyers page.
Frequently asked questions — Riverside investment fraud lawyers
Do I need a local Riverside 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 California?
Under FINRA Rule 12206, claims must be filed within six years of the events giving rise to the dispute. California 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 investors throughout the Inland Empire?
Yes. Bakhtiari & Harrison represents investors throughout Riverside County, San Bernardino County, and the broader Inland Empire region including Corona, Moreno Valley, Ontario, Rancho Cucamonga, Temecula, and surrounding communities. FINRA arbitration hearings for Southern California investors are typically held at the Los Angeles FINRA hearing location.
What types of investment fraud are most common in Riverside?
Riverside investors face the same misconduct patterns as investors throughout Southern California — unsuitable investment recommendations, variable annuity abuse, non-traded REIT recommendations, private placement fraud targeting accredited investors, and elder financial abuse targeting retirement-age investors. Bakhtiari & Harrison evaluates all potential investment fraud claims at no charge.
For investors throughout Southern California, visit the California 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