RIA Legal Solutions was founded to provide efficient compliance-based legal solutions to registered investment advisors. We are a full-service firm working with RIAs and other industry professionals on a nation-wide basis.
David Harrison
Mr. Harrison has been practicing in the securities industry for three decades. He represents clients in compliance and regulatory matters, SEC and state audits, securities employment issues, transitioning from a broker/dealer to an RIA, in addition to securities arbitration before FINRA (NASD, NYSE) and litigation in state and federal courts.
Mr. Harrison is a graduate of the University of Southern California where he obtained a Bachelor of Science in Finance. Upon graduation, Mr. Harrison worked as a registered representative at Shearson Lehman Brothers where he was Series Seven licensed.
Mr. Harrison worked as an in-house attorney at Morgan Stanley Dean Witter in its compliance and legal departments where he defended the firm from allegations of stock broker fraud by investors and regulators.
Mr. Harrison has been quoted in the media on securities-related matters such as Money Magazine, USA Today and the Los Angeles Times.
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