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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- 50 “Litigation Trailblazers & Pioneers” Recognized by ALM’s The National Law Journal
- Fifty of the top legal professionals in the U.S. have been recognized in the National Law Journal’s inaugural “Litigation Trailblazers & Pioneers” special supplement. Released on December 22nd, the list honors individuals who have changed the practice of litigation through the use of innovative legal strategies. Each of the professionals ...
- Wall Street’s Watchdog Doesn’t Disclose All Regulatory Red Flags
- Wall Street’s own national watchdog doesn’t make public all the regulatory red flags it has about brokers, prompting calls from state regulators for more expansive disclosure. Investors checking disciplinary records from the Financial Industry Regulatory Authority, or Finra, can see that in Bennett Broad ’s 35-year career as a stockbroker, he ...
- Regulators Beat Around Wedbush
- Wedbush Securities Inc., capitalized in 1955 with $10,000 from its co-founders, has grown over the last 60 years to have more than $4 billion under management. Its 82-year-old namesake founder still shows up at the office before dawn, putting in a full day on the trading floor. But the firm’s rise and the dogged work […]
- LPL Financial terminates Houston based broker, James “Jeb” Bashaw
- Former LPL Financial branch manager James “Jeb” Bashaw was fired on September 24, 2014 for several allegations, including participating in private securities transactions without providing written disclosure to and obtaining written approval from LPL Financial, according to his report on CRD (Central Registration Depository).
- Municipal Fixed Income Investments Containing Puerto Rican Bonds
- Aidikoff, Uhl & Bakhtiari is currently investigating certain municipal fixed income funds containing significant percentages of Puerto Rican bonds. The presence of these bonds in many mutual funds appears to have led the Secretary of the Commonwealth of Massachusetts to launch an investigation.
- LPL Financial, LLC Non-Traded REITs
- Aidikoff, Uhl & Bakhtiari announces the launch of an investigation of the sales practices of LPL Financial, LLC in recommending non-traded REITs to their clients. The investigation follows the recently filed complaint by the Commonwealth of Massachusetts Securities Division into similar non-traded REIT sales practices. The Massachusetts complaint charged LPL with dishonest and unethical business practices.