March 9, 2015- San Antonio, Texas
The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari who was barred in all capacities for providing false information and documentation to FINRA and a FINRA member in violation of FINRA rules 8210 and 2010. A second bar was imposed on Harari for obtaining customer funds by false pretenses and converting those funds.
In addition, the Hearing Panel found that Harari failed to disclose tax liens on his FINRA Form U4.
Sian Harari was found to have participated in the creation of the false documentation submitted to FINRA and suspended for 18 months.
- Girard Securities 2/2012-1/2013
- Raymond James & Assoc. 12/2010-1/2012
- Ameriprise Financial 2/2000-1/2011
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900