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Aidikoff, Uhl & Bakhtiari is an “AV” rated law firm that represents retail and institutional investors around the world in securities arbitration and litigation. Attorneys for the firm have appeared 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. The firm represents clients before the American Arbitration Association (AAA) and in numerous state and in federal courts to resolve financial disputes between customers, banks, brokerage firms and other financial institutions.

Aidikoff, Uhl & Bakhtiari was a pioneer in having brokerage firm's held responsible for failing to conduct effective due diligence on hedge funds sold to their clients. In February 2005, the firm received the first multi-million dollar award from an arbitration panel in connection with the sale of hedge funds to individual retail customers. In 2009, Aidikoff, Uhl & Bakhtiari arbitrated and won the largest arbitration award for retail customers in calendar year 2009. The arbitration award totaled $8.8 million and involved hedge fund losses incurred as a result of the brokerage firm's failure to perform adequate due diligence.

Aidikoff, Uhl & Bakhtiari litigates securities matters in state and federal courts. Our attorneys are licensed in California, the District of Columbia, Idaho, New York and Texas and we have relationships with attorneys and law firms in almost every state.

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.

Recent News

UBS Faces Wave of Lehman Note Legal Woes
Even as UBS launches a global campaign to revive its banged-up brand, the Swiss bank's U.S. brokerage faces another costly and embarrassing wave of regulatory actions. Investor lawyers for the past year have been taking UBS to task for selling Lehman Brothers debt with such reassuring names as "100 percent principal-protected ...
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Raymond James Must Buy Back $925,000 In Auction Rates- Panel
Raymond James & Associates, Inc. and one of its brokers must buy back $925,000 in auction-rate securities from a Texas-based couple, a securities arbitration panel has ruled. Rex and Sherese Glendenning, of the Celina area in Texas, originally sought $1.4 million in the case they filed in February 2009, against Raymond ...
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Citigroup Ordered to Pay $1 Million to Three Municipal-Bond Fund Clients
Citigroup Inc. was ordered by brokerage-industry arbitrators to pay more than $1 million to three investors in its municipal-bond funds. The clients had accused the New York-based bank's global markets unit of breaching fiduciary duty and other misconduct tied to their investments in funds known as ...
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Current Investigations

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.
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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.
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Medical Capital Holdings and Provident Asset Management
On July 16, the Securities and Exchange Commission charged Medical Capital Holdings Inc. of Tustin, Calif., with fraud in the sale of $77 million of private securities in the form of notes. On July 7, the SEC charged Provident Asset Management LLC of Dallas with operating a fraud and a Ponzi scheme in the sale of $485 million of preferred stock and limited partnership offerings in oil and gas deals.
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