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What should I do if I think my broker committed a violation?

If you are under the impression that your broker has committed some type of violation, the first thing you should do is contact an experienced securities attorney.

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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CAUTION! Please remember that no information found at this site can replace a face to face meeting or telephone consultation with a "real live" attorney about your particular case, problem or question. The information you find here or in the answers should just be a starting point in finding your answers.

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