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Law Offices of David Harrison

Legal Representation for Stockbrokers, Financial Advisors and Financial Professionals

Tag: stockbroker

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Tag: stockbroker

  • 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

Tag: 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

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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