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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- Why Plaintiffs Firms Will Love DOL’s New Fiduciary Rules
- The U.S. Department of Labor’s fiduciary rules give more power to retirement savers, experts said, providing investors and their attorneys an important new tool to bring claims when they suspect their broker-dealer doesn’t have their best interests at heart. “As night follows the day, there will be more litigation,” Skadden Arps Slate Meagher ...
- Law360’s FINRA Arbitration Survival Guide
- Just because the Financial Industry Regulatory Authority’s dispute resolution process promises to be quicker, cheaper and simpler than heading to federal court doesn’t mean it is a walk in the litigation park, experts say. Instead, the forum has its own idiosyncrasies that can sink even seasoned trial lawyers. A forum unlike others, FINRA arbitration ...
- S.E.C. Settlement With Citigroup Holds No One Responsible
- How can we expect Wall Street’s me-first culture to change when regulators won’t pursue or even identify the me-firsters who are directly involved? That question came to mind after reading the terms of a settlement struck on Aug. 17 between the Securities and Exchange Commission and two units of Citigroup. It is a deal that […]
- 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.
- Master Limited Partnerships
- Master limited partnerships, or MLPs, have become big business and more prevalent in investor portfolios over the past couple of years. They provide investor exposure to the growing oil and gas infrastructure of America, and they come with attractive distributions for investors seeking dividend income and capital flows.