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Ryan K. Bakhtiari

Ryan K. Bakhtiari

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Mr. Bakhtiari represents clients in securities disputes before FINRA (NASD, NYSE), state and federal courts. He served on the Board of Directors of the Public Investors Arbitration Bar Association (PIABA) from 2008 to 2013 and served as President for the 2011 to 2012 term. PIABA is a nationwide organization of securities lawyers that represent investors in disputes with the financial service industry.

In June 2013, Mr. Bakhtiari was named Chairman of the National Arbitration and Mediation Committee (“NAMC”) of the Financial Industry Regulatory Authority (FINRA). The NAMC is an advisory group that makes recommendations on rules, regulations and procedures governing FINRA arbitration, mediation and dispute resolution. In June 2011, Mr. Bakhtiari was nominated to serve as a public member of the Nasdaq OMX BX Arbitration Committee, which is the advisory group that provides recommendations on rules, regulations and procedures governing arbitrations, mediations and dispute resolution for the Nasdaq and Boston Stock Exchanges. In 2009, Mr. Bakhtiari was nominated to serve as a public member of the National Arbitration and Mediation Committee of FINRA.

Mr. Bakhtiari served on the faculty of the Practicing Law Institute (2012, 2014, 2015, 2016 and 2017) and New York City Bar Association's presentation of Securities Arbitration and Mediation Hot Topics (2012). Mr. Bakhtiari is a past member of the board of editors, managing editor of the PIABA Bar Journal and edited the “Recent Arbitration Awards” column covering significant NASD and NYSE arbitration awards. Mr. Bakhtiari has spoken at the Public Investors Arbitration Bar Association annual meeting, California mid-year meeting, authored and co-authored several articles. He was a teaching assistant and extern to the Honorable James N. Barr, United States Bankruptcy Judge for the Central District of California and presently serves as a FINRA securities arbitrator.

In addressing investors right's issues, Mr. Bakhtiari has been quoted by the press in publications that include 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.

Mr. Bakhtiari was recognized from 2014 to 2018 as a Southern California Super Lawyer. Between 2005 and 2013 he was recognized as a Southern California Super Lawyer Rising Star. He has litigated the following cases which resulted in published opinions:

Hosier, et al. v. Citigroup Global Markets, Inc., 2011 U.S. Dist. LEXIS 146670 (D. Colo. December 21, 2011)
Confirmation of $54.1 million arbitration award, including punitive damages and attorneys fees.
Maria Brezden, et al. v. Associated Securities Corp, et al., 2009 U.S. Dist. LEXIS 49557 (C.D. Cal. 2009)
Petition to Vacate $8.9 million arbitration award successfully denied.
Coutee v. Barington Capital Group, LP, 336 F.3d 1128 (9th Cir. 2003)
Confirmation of arbitration award of punitive damages and attorneys fees.
Goodman v. CIBC Oppenheimer & Co., 131 F. Supp. 2d 1180 (C.D. Cal. 2001)
Federal Arbitration Act does not provide an independent basis for federal subject matter jurisdiction.

Education

  • B.A. - University of California Los Angeles, 1995
  • J.D. - Southwestern University School of Law, 1998
    Journal of Law and Trade in the Americas, Lead Articles Editor

Bar Admissions

  • California, 1998
  • United States District Court Central District California, 1998
  • District of Columbia, 1999
  • United States Court of Appeals for the Fifth Circuit, 1999
  • United States District Court Northern District California, 2000
  • United States Court of Appeals for the Ninth Circuit, 2000
  • Texas, 2004
  • New York, 2005
  • United States District Court for the District of Colorado, 2011
  • United States District Court Eastern District of California, 2013
  • United States District Court Southern District of New York, 2015

Publications

Post-Settlement Expungements: An Investor Protection Problem That Continues To Wait For a FINRA Solution
Practicing Law Institute Securities Arbitration Handbook (2017)
The 20-Day Exchange: Identification of Expert Witnesses
The Neutral Corner (Volume 2 – 2016)
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 (2015)
Confidentiality in the FINRA Forum
Practicing Law Institute Securities Arbitration Handbook (2015)
Market Adjusted Damages in the FINRA Forum
PIABA Bar Journal, Volume 21, No. 2 (2014), reprinted in the Consumer Attorneys Associations for Southern California Advocate (April 2016)
The Time for a Uniform Fiduciary Duty Is Now
St. John's Law Review, Vol. 87: Iss. 2 & 3, 313 (2013)
FINRA Six-Year Eligibility Rule 12206: The Purchase Date is Often Not the Triggering “Occurrence or Event Giving Rise to a Claim.”
Public Investors Arbitration Bar Association (2013)
Discoverability of Wells Submissions: What They Are And How To Get Them
Public Investors Arbitration Bar Association (2012)
Discovery of Regulatory Documents: Debunking the Myth of the “SEC” Privilege in Securities Arbitration
Public Investors Arbitration Bar Association (2011)
Arbitrators Misclassified: Looking Back to Move Forward
Public Investors Arbitration Bar Association (2011)
The Prospectus Defense: Defeating It As A Matter of Fact and Law
Public Investors Arbitration Bar Association (2009)
The Credit Crisis Glossary
Public Investors Arbitration Bar Association (2008)
From Wall Street to Main Street: A Guide To Litigation Over Hedge Funds Sold by Brokerage Firms to Retail Investors
Public Investors Arbitration Bar Association (2005)
Supervising Retail Customer Accounts
Public Investors Arbitration Bar Association (2005)
Practice Pointers For Trying the Variable Annuity Case
Public Investors Arbitration Bar Association (2004)
Governing Law Clauses in Customer Agreements
Public Investors Bar Association (2003)
Arbitration: Can It Be Waived?
Practicing Law Institute Securities Arbitration Handbook (2002)
2001: An Update On Best Execution and Suitability Standards For Online Trading
Public Investors Arbitration Bar Association (2001)
Selective Recission and the Offset Defense in Securities Cases: A Survey of the Law
Public Investors Arbitration Bar Association (2000)
Motion Practice in Securities Arbitration: A Claimant's Point of View
Public Investors Arbitration Bar Association (1999)
Why Shouldn't Clearing Firms be Liable
Public Investors Arbitration Bar Association (1998)
Clearing Firm Liability: A Forward Looking Analysis
Practicing Law Institute Securities Arbitration Handbook (1998)
Liability of Control Persons at Second Tier Firms
Public Investors Arbitration Bar Association (1997)
Control Person Liability in the Securities Industry: A Legal Overview and Practical Applications
Practicing Law Institute Securities Arbitration Handbook (1997)

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