April 2021-Great Neck, NY
According to publicly available records, former JP Morgan Securities, financial advisor Forouzan Pooladi, has been barred from the securities industry.
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.
In August of 2020 in FINRA case 201906474601 Pooladi was permanently barred from the securities industry to resolve allegations that she refused to provide documents and information requested by FINRA in connection with its investigation initiated after receiving a Form U5 from her member firm indicating that Pooladi was terminated for violating an affiliate bank’s policy governing personal finances by conducting numerous transactions under the currency transaction reporting threshold and for performing an affiliate bank transaction between a business customer and husband’s personal affiliate bank account. Pooladi was permanently barred from FINRA in all capacities.
Pooladi was employed by JP Morgan from April of 2016 until she was terminated in September of 2019 for violating affiliate Bank Policy by conducting numerous transactions under the currency transaction reporting threshold.
If you have losses in an account handled by Forouzan Pooladi, call to learn how you may be able to recover damages through FINRA arbitration.
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.
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