Investor Alleges Harlan Shulevitz’s Advice Led to Losses

Harlan Shulevitz (CRD #: 6336369), a broker registered with Charles Schwab & Company, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on March 9, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On December 7, 2022, an investor alleged that Harlan Shulevitz provided poor advice in 2022, resulting in losses related to changes in interest rates. The client sought $721,500 in damages but the firm denied the dispute.

Investors should know, however, that firms don’t need to permit an outside review before denying a dispute. Investors may be able to recover their funds by pursuing FINRA arbitration after a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Harlan Shulevitz has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Harlan Shulevitz is a registered broker in 14 states and the District of Columbia. He is also a registered investment adviser in California and Texas.

Kurta Law Can Help

If you worked with Harlan Shulevitz 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.