Viewing 65 - 69 out of 69 posts

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 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 65 - 69 out of 69 posts

Contact Us

Please fill out the form below and our attorney will contact you.


Office Location

  • Beverly Hills Office


    9454 Wilshire Boulevard
    Suite 820
    Beverly Hills, California 90212