Aidikoff, Uhl & Bakhtiari is an “AV” rated law firm with a worldwide practice representing individuals and institutions in disputes with Wall Street and the financial services industry. Attorneys for the firm regularly appear before the Financial Industry Regulatory Authority (FINRA) which was created in 2007 through the consolidation of the National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) enforcement and arbitration divisions, as well as in numerous state and federal courts to resolve financial disputes between customers, employees, banks, brokerage firms, insurance companies and other members of the financial services industry.
Members of the national and local press have covered our attorneys on securities arbitration and securities litigation issues, some of which can be found at this site under the In The News section.
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- Aidikoff, Uhl & Bakhtiari Announces Filing Of FINRA Arbitration On Behalf Of Former Customers of Independent Financial Group broker Kenny Kim
- Aidikoff, Uhl & Bakhtiari and the Law Offices of Patrick R. Mahoney, P.C. announce the filing of a FINRA arbitration and its continuing investigation of the sales practices of former Independent Financial Group broker Kenny Kim for his management of client accounts and unsuitable recommendations of private non-traded REITs, annuities, structured ...
- Investor Plaintiff Lawyers Expect More Victories With DOL Rule
- Investor plaintiffs’ lawyers say the Department of Labor’s fiduciary rule will give them some extra leverage in winning damages from arbitration panels—but they don’t expect a huge windfall. The DOL rule gives investors the right to file arbitrations or class-action claims for violations of the rule, giving rise to industry concerns about increased ...
- Finra Wants to Expand Arbitrator Pool Choices
- The securities industry’s self-funded watchdog is moving forward with a rule to bump up the number of arbitrators available to be selected for panels judging claims against brokers. In a filing to the SEC earlier this month, the Financial Industry Regulatory Authority proposed to increase to 15 from 10 the number of “public” arbitrator ...
- Asset Allocation
- Asset allocation involves dividing an investment portfolio among different asset categories, such as stocks, bonds, and cash. The recent market volatility has exposed imprudent allocations in accounts that have resulted in significant losses to many investors. When asked about why account values have dropped, brokers often respond by blaming it on the market instead of recognizing that inappropriate allocations are actually to blame.
- Oil and Gas Investment Schemes
- Oil and gas investment scams are alive and well. High oil prices have created a heightened interest in investments in energy-related business ventures. Most oil and gas investment opportunities, while involving varying degrees of risks to the investor, are legitimate in their marketing and responsible in their operations. However, as in many other investment opportunities, it is not unusual for unscrupulous promoters to attempt to take advantage of investors by engaging in fraudulent practices.
- Merrill Lynch Market-Linked Notes
- Market-Linked Notes were recommended by Merrill Lynch financial advisors to customers as a stable source of income. Many investors did not adequately understand or comprehend the risks associated with Market-Linked Notes or how they worked. In many instances, Market-Linked Note investments tracked oil prices, energy pipelines, or commodity baskets and have resulted in significant investor losses.