Navigating the Complexities of Investment Fraud: How an Attorney Can Enhance Your FINRA Claim
Los Angeles, United States - April 8, 2025 / Bakhtiari & Harrison Law /
Investment fraud can be financially devastating, leaving victims unsure of how to recover their losses. When an investor suspects misconduct by a brokerage firm or financial advisor, they have the option to pursue legal action through the Financial Industry Regulatory Authority (FINRA) arbitration process. This method provides an alternative to traditional court litigation, offering a structured forum for resolving disputes between investors and financial firms.
Bakhtiari & Harrison Law assists clients in navigating the FINRA arbitration process, making sure they understand their rights and legal options. With the complexities involved in securities disputes, having a knowledgeable investment fraud attorney in Los Angeles, CA, can make a significant difference in achieving a favorable outcome.
Understanding FINRA Arbitration
FINRA arbitration is a legally binding dispute resolution process overseen by a neutral arbitrator or panel. Unlike traditional lawsuits, arbitration tends to be faster and more cost-effective. Investors file claims against brokerage firms or financial advisors when they believe they have been misled or defrauded. The process typically involves the following steps:
- Filing a Statement of Claim: The investor or their attorney submits a formal claim outlining the allegations and the damages sought.
- Response From the Brokerage Firm: The opposing party provides a defense, disputing or refuting the claims.
- Discovery Phase: Both sides exchange documents and gather evidence to support their positions.
- Hearing and Arbitration Decision: The case is presented before an arbitrator or panel, who reviews the evidence, hears testimony, and renders a final, binding decision.
The Role of an Investment Fraud Attorney
An investment fraud attorney is essential in helping victims of fraud build a strong case and present their claims effectively. Some of their key responsibilities include:
Case Evaluation
An attorney reviews financial statements, transaction records, and communication with the brokerage firm to determine if fraud, misrepresentation, or negligence occurred. They assess whether the claim has legal merit and the likelihood of a successful outcome.
Filing the Claim
The attorney prepares and submits the Statement of Claim, to get all necessary details, supporting evidence, and legal arguments together. Any errors or omissions in the filing process could weaken the case.
Representation in Arbitration
Throughout the arbitration process, an attorney advocates on behalf of the investor, presenting arguments, questioning witnesses, and challenging the opposing party’s defenses. Their experience with FINRA procedures helps make sure that clients' interests are properly represented.
Settlement Negotiation
In many cases, an attorney will attempt to negotiate a settlement before the case reaches arbitration. A favorable settlement can allow investors to recover a portion—or even the full amount—of their losses without enduring a lengthy legal battle.
Bakhtiari & Harrison Law: Advocates in Investment Fraud Cases
Bakhtiari & Harrison Law represents clients in securities arbitration and investment fraud disputes. Their attorneys bring years of experience in handling complex financial fraud cases, offering personalized legal strategies tailored to each client’s unique situation.
Investment fraud cases can involve:
- Unauthorized trading
- Misrepresentation or omission of material facts
- Churning (excessive trading to generate commissions)
- Unsuitable investment recommendations
- Ponzi schemes and other fraudulent investment activities
By working with a firm that understands securities law, investors can increase their chances of recovering financial losses and holding fraudulent brokers accountable.
Get in Touch With Bakhtiari & Harrison Law
Bakhtiari & Harrison Law, your go-to investment fraud attorney in Los Angeles, CA, offers legal support in investment fraud cases, providing representation and strategic advocacy in FINRA arbitration. If you believe you have been a victim of fraudulent investment practices, seeking legal guidance as soon as possible is essential.
Contact Information:
Bakhtiari & Harrison Law
12711 Ventura Blvd Suite 315
Los Angeles, CA 91604
United States
Contact Bakhtiari & Harrison Law
(800) 382-7969
https://bhseclaw.com/
