In The News

4 People Accused of $13 Million in Pro Athlete Fraud Schemes. For more information please contact us.

| Two individual investors just scored a remarkable win against Citigroup.   A few weeks ago, the pair was awarded a total of $54.1 million in a securities

Advisers spar with Wells Fargo over growth award bonus program. For more information please contact us.

Ameriprise Sent Data-Breach Notices to LPL Customers: Lawsuit. Contact us for more information.

Broker who sold GWG bonds faces deluge of investor complaints. Free Consultation. For more information please contact us.

FINRA barred a Western International Securities Inc. broker who had been misappropriating client funds for 17 years.

| It's no secret that small broker-dealers are struggling to keep their doors open as technology, compliance and legal costs continue to increase, especially

| A securities arbitration panel has ordered a unit of Citigroup Inc. to pay a group of investors about $54 million for losses they incurred in a

| An arbitration panel ordered Citigroup Inc to pay a group of investors $54.1 million for losses from municipal securities funds that cratered between 2007

| Citigroup Inc. has been ordered to pay $54.1 million to two wealthy investors for losses they suffered on a series of risky municipal bond funds that lost

Citigroup Loses Suit to Overturn $54-mln Ruling

| Citigroup Inc., the third-biggest US bank, was ordered to pay more than $51 million to a group of investors in its MAT and ASTA municipal bond hedge funds,

Client wins $262K arbitration award from Wells Fargo

| 'Reverse Convertible Notes' Can Tumble Along with Stock

Ex-Merrill Broker Clears Record of Wirehouse’s "Defamatory" U5 Filing. For more information please contact us.

Ex-Morgan Stanley advisor and three others charged with fleecing NBA players out of $13 million.

Former Morgan Stanley advisor Darryl Cohen was arrested for allegedly defrauding current and former NBA players.

Ex-Wirehouse FA Accused of Forcing Client to Trade Sex for Account Access. For more information please contact us.

Filing Of FINRA Arbitration On Behalf Of Former Customers of Independent Financial Group broker Kenny Kim

Bakhtiari & Harrison secures a victory in FINRA expungement case against Wells Fargo, helping Advisor clear their CRD Record

Finra in Missouri Official’s Crosshairs over Meme Stock Shutdown. For more information, please contact us. Free Consultation.

Finra orders Citigroup to pay $51M to muni-fund investors. For more information, please contact us. Free Consultation.

| Those funds - including MAT Two LLC, MAT Three LLC and MAT Five LLC - have been the subject of numerous investor lawsuits and a U.S. Securities and Exchange

| Four former officers of Stratton Oakmont Inc., a Lake Success-based securities company that is in liquidation proceedings, have been fined $10 million in

| Securities: The huge punitive damages are among the highest achieved in arbitration of a securities complaint.

Lead broker-dealer of Inspired Healthcare deals ordered to turn over documents. For more information please contact us.

Messy FA-Client Romances Spotlight Company-Policy Blindspot. For more information please contact us.

Arbitration Panel Orders Duke & Co. To Pay Former Broker $120,000. Contact us for more information.

NBA Players Had Millions Stolen by Ex-Morgan Stanley Adviser, Prosecutors Say. For more information please contact us.

New Jersey B-D blocked potential whistleblowers, SEC claims. For more information, please contact us. Free Consultation.

Nine lives for notorious reps who skirt securities laws. For more information, please contact us. Free Consultation.

| An arbitration panel awarded a California doctor a record $10 million in punitive damages from four former officers of the defunct brokerage firm Stratton

Former Morgan Stanley advisor faces federal charges for allegedly defrauding four athletes, including NBA players, of $13 million.

Pro Athletes Say They Wanted Everyday Financial Advice but Got Cheated. Contact us for more information. Free Consultation.

Prominent entrepreneur says Goldman misrepresented debt fund. Contact us for more information. Free Consultation.

| NEW YORK - An arbitration panel's record $10 million punitive damage award this week to a California radiologist, who says he was misled by his stockbroker,

Regulators award Citigroup investors $54M

Regulators order Citigroup pay $54 million to investors over losses in municipal hedge funds.

Schwab gets OK to ban client class-action suits

SEC Committee Floats Guardrails for Private MarketAccess. For more information please contact us, Free Consultation.

S.E.C. Inertia on Paybacks Adds to Investor Harm

Secrets of a Sales Machine

SEC’s Atkins Takes Aim at ‘Regulatory Creep’ Blocking IPOs. For more information please contact us. Free Consultation.

Securities America scores huge victory in Reg D case

SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players

Securities Arbitration Award

Bakhtiari & Harrison, an AV-rated law firm, offers legal services in securities arbitration, litigation, and regulatory matters

SunTrust sues to stop hedge fund’s $13 million FINRA arbitration. For more information please contact us.

Bakhtiari & Harrison Partners Named Super Lawyers for 2023. For more information please contact us.

Bakhtiari & Harrison partners Ryan Bakhtiari and David Harrison have been named Super Lawyers in the field of Securities law for 2024.

Bakhtiari & Harrison Partners Named Super Lawyers for 2025. For more information please contact us.

Tennessee Regulator to Reconsider ‘Costly’ Custody Proposal. For more information please contact us.

Treasury Secretary Nominee Jack Lew Haunted by Wall Street Past. Contact us for more information.

UBS on the hook for $92.2 million in damages linked to advisor’s short sales of Tesla. For more information please contact us.

Vonnegut: ‘Harrowing’ Fight for Brokers Who Take On the Firm. For more information please contact us.

Wells’ $2M Clawback WinTossed After FA’s Arbitrator-Bias Claim. For more information please contact us.