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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Recent News
- Sophisticated Investor Defense Losing Steam
- One of Wall Street's favorite defenses against claims by unhappy investors may be losing steam.
The often-used argument that the claimant was a sophisticated investor, and thus should have understood the risks of an investment that went bad, was ...
Read Article - Secrets of a Sales Machine
- BACK in 1940, a popular book about Wall Street asked, "Where are the customers' yachts?" Investment firms, it lamented, always seemed to win, even when their customers lost.
True then and, all too often, true now - with rare exceptions. One of them ...
Read Article - Citigroup Loses Suit to Overturn $54-mln Ruling
- *Federal Judge Finds That FINRA panel is Correct
*Investors' losses were tied to risky municipal bond funds
*FINRA panel ruling among largest to individual investors
A U.S. judge on Wednesday denied a request by Citigroup to overturn a $54.1-million ...
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Current Investigations
- Reverse Convertibles
- Reverse convertibles are debt obligations of the issuer that are tied to the performance of an unrelated security or basket of securities. Although they are sometimes described as debt instruments, they are more complex than traditional bonds and involve elements of options trading. Reverse convertibles expose investors to heightened risks not associated with bonds.
Read Article - 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.
Read Article - 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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