I represent clients in securities disputes before FINRA (NASD, NYSE), state, and federal courts. In June 2019, I was honored to be nominated as a public member of the Discovery Task Force Committee (DTFC) of the Financial Industry Regulatory Authority (FINRA). This committee, established following a directive from the U.S. Securities & Exchange Commission, reviews substantive issues related to discovery in arbitration proceedings under the FINRA Code of Arbitration Procedure.
In June 2013, I was named Chairman of the National Arbitration and Mediation Committee (“NAMC”) of FINRA, an advisory group that recommends rules, regulations, and procedures for FINRA arbitration, mediation, and dispute resolution.
Earlier, in June 2011, I was nominated to serve as a public member of the Nasdaq OMX BX Arbitration Committee. This committee advises on rules, regulations, and procedures for arbitrations, mediations, and dispute resolution for the Nasdaq and Boston Stock Exchanges.
In 2009, I was also nominated to serve as a public member of the National Arbitration and Mediation Committee of FINRA.
From 2008 to 2013, I served on the Board of Directors of the Public Investors Arbitration Bar Association (PIABA) and was President from 2011 to 2012. PIABA is a nationwide organization of securities lawyers that represent investors in disputes with the financial service industry.
In my work addressing investors' rights issues, I have been quoted by the press in publications including the New York Times, Wall Street Journal, Bloomberg, Los Angeles Times, Reuters, Dow Jones Business News, NY Post, Los Angeles Business Journal, The American Banker, and Cleveland Plains Dealer.
- Securities Law
- Employment Law
- Employee Benefits, Employment Contracts, Employment Discrimination, ERISA, Overtime & Unpaid Wages, Sexual Harassment, Whistleblower, Wrongful Termination
- Stockbroker & Investment Fraud
- Free Consultation
- California
- State Bar of California
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- District of Columbia
- District of Columbia Bar
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- New York
- New York State Office of Court Administration
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- Texas
- State Bar of Texas
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- English
- Partner
- Bakhtiari & Harrison, P.C.
- - Current
- Partner
- Aidikoff, Uhl & Bakhtiari
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- Southwestern University School of Law
- Doctor of Jurisprudence/Juris Doctor (J.D.)
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- University of California - Los Angeles
- B.A.
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- President
- Public Investor Arbitration Bar Association (PIABA)
- Rising Star
- Super Lawyers
- 2005 - 2013
- Super Lawyer
- Super Lawyers
- 2014 - 2025
- State Bar of California
- Member
- Current
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- State Bar of Texas
- Member
- - Current
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- Trends in Preventing Senior Financial Abuse
- Practicing Law Institute (PLI)
- Post-Settlement Expungements: An Investor Protection Problem That Continues To Wait For a FINRA Solution
- Practicing Law Institute (PLI)
- The 20-Day Exchange: Identification of Expert Witnesses
- FINRA The Neutral Corner
- Confidentiality in the FINRA Forum
- Practicing Law Institute (PLI)
- The Use of Third Party Subpoenas to Determine a Brokerage Firm’s Pre-Hiring Due Diligence and Post-Hiring Supervision
- Public Investors Arbitration Bar Association (PIABA)
- Securities Arbitration & Mediation Hot Topics, New York City Bar Association, New York
- New York City Bar Association
- Fiduciary Duty, St. John's Law School, New York
- St. John's Law School
- Securities Arbitration, Practising Law Institute, New York
- Practising Law Institute
- Securities Arbitration, Practising Law Institute, New York
- Practising Law Institute
- Securities Arbitration, Practising Law Institute, New York
- Practising Law Institute
Why Choose Bakhtiari & Harrison For Securities Matters? - Bakhtiari & Harrison - Trusted Lawyers
- Q. Advisor stopped communication after transferring money; $1,350 taken. What to do?
- A: If your financial advisor stopped communicating after the transfer of funds and $1,350 has been taken from your account, you should take the following steps immediately to protect your interests:
Document Everything: Keep records of all communications with the advisor, including emails, text messages, and call logs. Save any account statements, transfer confirmations, and the emails from Schwab listing the unknown advisor.
Contact Schwab in Writing: Since Schwab is the custodian of the account, you should notify them in writing about the unauthorized withdrawal and your concerns about the listed advisor. Request a formal investigation and ask for a detailed transaction history.
Verify ... Read More
