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  • When can I recover from my broker?
    • Normally, an investor can recover when a stockbroker commits a sales practice violation. Churning, suitability, unauthorized trading and misrepresentation are the most common violations.
    Important: These Frequently Asked Questions (FAQs) were prepared by David Harrison, Esq. David Harrison is a founding partner in the law firm of Spivak & Harrison. Mr. Harrison served as in-house counsel to the brokerage firm Morgan Stanley Dean Witter where he resolved allegations regarding stockbroker wrongdoing. Mr. Harrison was formerly series seven licensed when he worked as a broker at Shearson Lehman Brothers. Mr. Harrison concentrates in the areas of stockbroker fraud and securities litigation. Mr. Harrison can be reached at (310) 772-2274, dharrison@shlawyers.com or http://www.shlawyers.com.

    These Frequently Asked Questions are based on Federal and California Law.
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