• posted: Oct. 26, 2021
• finra,  sec,  arbitration,  ponzi scheme,  oppenheimer

LAW OFFICES OF DAVID HARRISON, P.C. Investigates FINRA Claims for Oppenheimer Customers Who Invested in Horizon Private Equity III Read More

• posted: Oct. 01, 2020
• finra,  arbitration,  securities arbitration,  expungements,  #finra,  #registered rep

FINRA MOVES TO RESTRICT EXPUNGEMENTS FURTHER Read More

• posted: Apr. 22, 2020
• finra,  sec,  arbitration,  oil,  interactive brokers,  margin,  investigation

Law Offices of David Harrison, P.C. are investigating Interactive Brokers Group Read More

• posted: Mar. 18, 2020
• finra,  arbitration,  investment losses,  oil losses,  stock losses,  retirees

Oil and Gas Structured Notes May Cause Losses Read More

• posted: Feb. 07, 2020
• stockbroker,  FINRA,  broker dealer,  registered representatives,  book of business,  employment,  tro,  arbitration,  finra arbitration

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