Did your firm blemish your CRD?  Is your CRD preventing you from obtaining additional clients?  What is securities arbitration?  Find out what may be done by contacting an attorney at the  Law Offices of David Harrison.

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FINRA Proceedings

Are you involved in a FINRA regulatory investigation?  What to know about the FINRA investigation process?

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Up-Front Bonus Cases

Is your employer seeking a repayment of a forgivable loan?  Did your firm fail to pay your bonus and compensation?

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What We Do

The Law Offices of David Harrison represent investment professionals in FINRA / SEC regulatory proceedings and employment matters, including wrongful termination, discrimination, harassment, U5 / U4 issues and forgivable loans.  We also represent investment professionals either under investigation or have been indicted/arrested for allegations of white collar crimes which include securities violations, fraud, insider trading, embezzlement, and theft.

If you are under investigation by your employer, FINRA, Securities and Exchange Commission, terminated by your employer or arrested, find an attorney skilled in the law who understands the customs and practices in the securities and brokerage industries.

Mr. Harrison, Esq. is a former New York City assistant district attorney and in-house attorney for Morgan Stanley Dean Witter where he represented the firm and stock brokers from allegations of wrongdoing. Mr. Harrison, Esq. also worked at Shearson Lehman Brothers where he was Series Seven licensed.

For a free consultation contact Mr. Harrison, Esq. at (877) 834-5580 or (310) 499-4732.