Last Updated: September 2023 (New York, NY)
Ali Mahlooji Investigation Summary
Here’s what you need to know about New York, NY, stockbroker Ali Mahlooji:
- Name: Mr. Ali Barry Mahlooji
- Current Employer: PHX Financial Inc. (Phoenix Financial Services)
- Previous Firms: National Securities Corp., Newbridge Securities, Empire Asset Management Co.
- Function: Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: New York, NY
- CRD 4830105
- Can Ali Mahlooji be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement: $40,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ali Mahlooji As Your Stockbroker?
- Ali Mahlooji discloses 3 prior customer disputes on his CRD (CRD 4830105) including a recently settled arbitration brought by a customer of National Securities Corp. who was paid $40,000 to resolve allegations that Mahlooji made an unsuitable investment recommendation.
Allegations of Broker Misconduct Against Ali Mahlooji
Customers of Ali Mahlooji have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Ali Mahlooji, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
