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Investment Law

Questions and answers about Investment and Securities Law

1. When can I recover from my broker?

2. What is churning?

3. What is an unsuitable investment?

4. Can the branch manager be liable?

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

6. Why do I need to hire an attorney?

7. What happens once I hire an attorney?

8. Who decides whether the case is litigated in court or arbitration?

9. Is there a difference between court and arbitration?

10. What does arbitration consist of?

11. How much does it cost to arbitrate?

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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