Did Forouzan Pooladi Cause You Investment Losses?
You may have read that Forouzan Pooladi of Port Washington, New York was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because she failed to comply with FINRA Rule 8210.
Forouzan Pooladi joined J.P. Morgan Securities LLC in May 2016 and was registered as an Investment Company Shares and Variable Contracts Representative. On October 4, 2019, the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) indicating that Pooladi was terminated due to an alleged violation of bank policy and unauthorized transactions. According to the findings, FINRA began an investigation regarding the misconduct and requested information and documentation from Poolandi. FINRA stated that Pooladi initially cooperated then later acknowledged that she received FINRA’s request and allegedly refused to produce the requested documents. Although she is no longer associated with a FINRA member firm, Forouzan Pooladi remains subject to FINRA’s jurisdiction.
FINRA Rule 8210(a) states, in relevant part, that FINRA has the right to “require a person associated with a member, or any other person subject to FINRA’s jurisdiction to provide information in writing or electronically with respect to any matter involved in the investigation, complaint, examination or proceeding.” FINRA Rule 8210(c) similarly provides that “[n]o member or person shall fail to provide information pursuant to this Rule.”
Do you need a New York FINRA 8210 Defense Lawyer?
Unfortunately, Forouzan Poolandi might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome.
Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout New York And Nationwide
The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout New York and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.