Aidikoff, Uhl & Bakhtiari is an “AV” rated law firm with a national practice representing retail and institutional investors as well as municipalities and public companies. 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, banks, brokerage firms and other financial institutions.
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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- Finra Board to Consider Arbitration Changes
- The Financial Industry Regulatory Authority’s board next week will consider proposed changes intended to simplify the rules for investors selecting an arbitration panel. Finra, which oversees the arbitration forum, regularly contends with charges ...
- Prominent entrepreneur says Goldman misrepresented debt fund
- The founder of a global medical device company who racked up personal losses of $1.4 million in a Goldman Sachs private debt fund is concerned about practices that may lure investors into securities that are riskier than sales pitches indicate. Richard ...
- Nine lives for notorious reps who skirt securities laws
- Two notorious independent registered representatives who violated securities laws are hanging on to life in the financial advice industry, reinventing themselves as investment "teachers" or "wealth coaches." The two former reps, Frank Bluestein and Jeffrey ...
- 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.
- Citigroup's Falcon, ASTA and MAT Hedge Funds
- The decline of Citigroup's fixed income hedge funds has led to investor claims and an investigation of Citigroup, Inc. (NYSE: C). We are investigating the decline of fixed income portfolios that Citibank sold. The Falcon, ASTA and MAT funds employed leverage to purchase municipal bonds.
- Municipal Arbitrage Losses in 1861 Capital Management
- 1861 Capital Discovery Domestic Fund, LP was marketed and sold by UBS and other broker dealers as a safe, secure, and low-risk municipal bond portfolio complement. In truth, however, 1861 was a fund, better described as a leveraged municipal arbitrage fund.