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Investor Seeks Six Figures in Dispute with Bernard Lherisson

May 9, 2022 Unsuitable Investments

Bernard Lherisson (CRD #: 1858885), a broker registered with Alliance Global Partners, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on May 2, 2022. If you have questions about Bernard Lherisson’s conduct as a broker, keep reading.

Investor Allegations

In a dispute filed on March 25, 2022, an investor named Bernard Lherissonin in allegations involving unsuitable investments and failure to supervise from 2013 to 2015. The investor seeks $100,000 in damages in this pending dispute.

FINRA Rules 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to clients’ profiles. Investors’ profiles include information like their age, investment goals, and tax status. Investors who feel their losses are caused by unsuitable investment recommendations may be able to recover their money through FINRA arbitration.

FINRA Rule 3110

Failure to supervise is defined by FINRA Rule 3110, which requires firms to establish and maintain supervisory systems to ensure registered representatives fully comply with FINRA regulations.

Tax Lien

Bernard Lherisson became the subject of a $25,668 tax lien in 2018.

Background Information

Bernard Lherisson has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

Bernard Lherisson is a registered broker in six states and a registered investment adviser in Connecticut and New York.

He has also worked for the following firms:

  • Aegis Capital (CRD#:15007)
  • Oppenheimer & Company (CRD#:249)
  • Chase Investment Services (CRD#:25574)
  • Allstate Financial Services (CRD#:18272)
  • AXA Advisors (CRD#:6627)
  • Guardian Investor Services (CRD#:6635)
  • Rosenkrantz Lyon & Ross (CRD#:3227)
  • J. T. Moran & Company (CRD#:15655)
  • J F Lowe & Company (CRD#:11830)
  • F.D. Roberts Securities (CRD#:693)
  • South Richmond Securities (CRD#:14913)

Kurta Law Can Help

If you worked with Bernard Lherisson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.