Viewing 17 - 31 out of 31 posts

LAW OFFICES OF DAVID HARRISON, P.C. ARE INVESTIGATING UBS ETRACS

LAW OFFICES OF DAVID HARRISON, P.C. IS INVESTIGATING UBS ETRACS Read More

LAW OFFICES OF DAVID HARRISON, P.C. ANNOUNCE INVESTIGATION INTO THE UNSTABILITY OF MORGAN STANLEY’S TRADING PLATFORM

Morgan Stanley Wealth Management’s technology systems crumpled today, preventing brokers and clients from viewing account information and placing orders. “[O]rder entry and order status continues to experience issues and may be Read More

Oil & Gas Investments are Getting Crushed by Volatile Market Conditions

Oil & Gas Investments are Getting Crushed by Volatile Market Conditions Read More

Retirees – Did Your Broker Load You Up On Oil?

Retirees suffered market losses in oil Read More

Financial Crisis Redux?

Collateralized Loan Obligations May Cause the Next Financial Crisis Read More

Margin Accounts May be Inherently Unsuitable in Volatile Market Conditions

Margin is Unsuitable in Volatile Markets Read More

Oil and Gas Structured Notes May Cause Losses

Oil and Gas Structured Notes May Cause Losses Read More

Law Offices of David Harrison Investigates Brokerage Firms Over-Concentrating Investors in Oil and Gas Products

Economist Harry Markowitz received the Nobel Memorial Prize in Economic Sciences for his seminal work in establishing the Modern Portfolio Theory (“MPT”) in 1990.  MPT relates to maximizing the return Read More

California Oil Ponzi Scheme

California Ponzi Scheme Read More

Obligations of a Stockbroker

Stockbroker's Obligations to Customers Read More

The Financial Industry Regulatory Authority (“FINRA”) proposed to increase the fees firms, and stockbrokers pay when seeking to expunge customer complaints from brokers’ regulatory records on BrokerCheck.

FINRA has proposed to the Securities and Exchange Commission to amend its arbitration codes mandating stockbrokers or their firms to pay a minimum of $9,475 in filing and processing fees Read More

How Stockbrokers Protect Accounts When Switching Brokerage Firms

Stockbrokers should memorialize in their employment agreement with the brokerage firm clarifying and defining who the customer belongs to and the scope of solicitation. It is worthy to note financial rules, industry Read More

Does A Recruiting Firm Have The Transitioning Advisor’s Best Interest At Heart?

It is all too common for a broker-dealer to recruit a registered representative (“RR”), who has built a thriving book of business, only to leave the RR  “high and dry” Read More

The Importance of New Account Document Information

The Importance of New Account Information in Knowing Securities Customers Read More

Welcome

Welcome to the official blog of Law Office of David Harrison. We will begin posting on this blog shortly, so please check back regularly for updates about the firm, notable Read More

Viewing 17 - 31 out of 31 posts

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    9454 Wilshire Boulevard
    Suite 303
    Beverly Hills, California 90212