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Law Offices of David Harrison

Legal Representation for Stockbrokers, Financial Advisors and Financial Professionals

Author: dshesq

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Author: dshesq

  • Home
  • Practice Areas
    • Up-Front Bonus Cases
    • Expunge Customer Complaints & Improper Reportings
    • FINRA Proceedings
    • Wrongful Termination
  • Areas of Interest
    • Articles
  • Blog
  • About Us
  • Contact Us

Author: dshesq

Morgan Stanley’s Broker Protocol Exit

November 6, 2017 dshesq

View articles relating to Morgan Stanley withdrawing from the Broker Protocol. What Morgan Stanley’s Broker Protocol Exit Means for Advisors…

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Posted in: Stockbroker

What is “Raiding?”

January 18, 2017 dshesq

A FINRA arbitration panel ordered securities brokerage firm, Robert W. Baird & Co. to pay Wells Fargo Advisors $23 million for…

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Posted in: Raiding, Stockbroker Filed under: raiding, stockbroker, stockbroker compensation, stockbroker employment

No Dice in Taking the Fifth

January 11, 2017 dshesq

In January 2017, the Securities and Exchange Commission (“SEC”), issued Release No. 79722, In the Matter of Behnam Halali, ruled…

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Posted in: FINRA Proceedings, SEC, Stockbroker Filed under: FINRA Enforcement, SEC, stockbroker

How to Avoid Problems with Up-Front Bonuses

January 5, 2017 dshesq

Your day has arrived.  A prominent brokerage firm wants you… or to be more honest, your book of business. The…

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Posted in: Stockbroker Filed under: broker-dealer, EFL, Employee Forgivable Loan, stockbroker compensation, stockbroker employment

So, You Want to Switch Brokerage Firms?

January 4, 2017 dshesq

A recruiter recently contacted you to transfer brokerage firms with greater payout, compensation and benefits.  You want to make the…

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Posted in: Stockbroker Filed under: stockbroker, stockbroker compensation, stockbroker employment

Contact Us

  • Email
    dh@FinraStockbrokerAttorney.com
  • Phone
    (310) 499-4732
  • Fax
    (310) 861-5444
  • Address
    9454 Wilshire Boulevard
    Suite 303
    Beverly Hills, CA 90212

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