David Harrison

About David Harrison

Effective advocacy in securities litigation and FINRA arbitration requires more than technical knowledge; it requires perspective. My practice is shaped by a career spanning every major vantage point within the financial and legal systems. I began as an Assistant District Attorney, learning how evidence and narrative withstand scrutiny. Later, I served as in-house counsel for Morgan Stanley Dean Witter, advising on regulatory exposure, and held a Series 7 license at Shearson Lehman Brothers. This background gives me firsthand insight into the pressures registered representatives face and the internal decision-making of major firms.This 360-degree experience allows me to serve as a strategic counselor rather than a reactive litigator. Because I understand how cases are built, defended, and adjudicated, I can anticipate regulatory shifts and defense strategies well before they arise. My approach focuses on preparation and coherence—examining how records are created, supervision is documented, and whether conduct aligns with regulatory obligations. I understand that arbitration outcomes rely on whether facts and timelines form a cohesive whole.At Bakhtiari & Harrison, I represent investors nationwide in complex FINRA arbitrations regarding unsuitable recommendations, supervision failures, and significant financial losses. My clients range from high-net-worth individuals and family trusts to professional athletes. These matters often require reconstructing years of account activity and demand absolute discretion.I also represent stockbrokers, registered investment advisers, and industry professionals when careers and reputations are on the line. My defense practice includes handling sales-practice allegations, promissory note disputes, and regulatory investigations. I aggressively pursue expungement under Rule 2080, address Form U5 defamation, and navigate Protocol recruiting disputes. I also intervene early in FINRA Rule 8210 inquiries to mitigate risk and serve as outside counsel to firms on internal investigations. My focus remains constant: clarity, credibility, and disciplined execution in matters where the margin for error is small.

Experience

1. Partner

   Bakhtiari & Harrison

   May 2024 — Present

Education

• Southwestern Law School

  JD, Law

  1992 — 1995

• USC Marshall School of Business

  B.S., Business

  1987 — 1991

Skills

• Commercial Litigation
• Legal Research
• Product Liability
• Courts
• Investments
• Dispute Resolution
• Civil Litigation
• Appeals
• Mediation
• Securities Regulation
• Trial Practice
• Alternative Dispute Resolution
• Arbitration
• Legal Writing
• Litigation
• Business Development