• 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: Dec. 24, 2020
• finra,  finra arbitration,  securities arbitration,  stock losses,  ubs,  yes strategy

UBS FINRA Securities Arbitrations Read More

• posted: Dec. 15, 2020
• finra,  finra arbitration,  #finra,  @finra-arb.com,  #finraarbitiration,  #stocklosses,  #ubs,  #citigroup

Lost Money in Leveraged Energy Exchanged Traded Products (“ETPs”)? Read More

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

FINRA MOVES TO RESTRICT EXPUNGEMENTS FURTHER Read More

• posted: Jun. 25, 2020
• finra,  securities arbitration,  investment losses,  finra arbitrations,  attorney david harrison

Better Housing Foundation deals in Illinois receive SEC scrutiny Read More

• posted: Apr. 27, 2020
• finra,  investment losses,  stock losses,  david harrison,  eldery,  elderly investors,  seniors,  seniors and investing,  finra arbiration,  finra regulation,  securities attorney

FINRA Proposes Enhancements to Protect Senior Investors from Financial Harm 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. 26, 2020
• finra,  investment losses,  stock market losses,  junk bonds,  bonds

What Will Wall Street do With the Junk Bonds in their Inventories? Read More

• posted: Mar. 25, 2020
• finra,  sec,  investment losses,  stock losses,  ubs,  etracs,  etns,  etfs

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

• posted: Mar. 25, 2020
• finra,  investment losses,  morgan stanley,  trading losses

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

• posted: Mar. 23, 2020
• finra,  finra arbitration,  retirees,  oil,  david harrison

Retirees suffered market losses in oil Read More

• posted: Mar. 23, 2020
• finra,  securities arbitration,  clo,  loans.,  stock market losses

Collateralized Loan Obligations May Cause the Next Financial Crisis 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. 13, 2020
• finra,  stockbroker,  investments,  securities,  securities arbitration

Stockbroker's Obligations to Customers Read More

• posted: Feb. 10, 2020
• finra,  stockbroker,  expungement,  finra fees

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

• posted: Feb. 04, 2020
• finra,  customer complaints,  stockbroker,  brokerage firms,  suitability,  new account document,  know your customer,  sec,  investments,  investment objectives

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