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Did Mojgan Mohammadi Fail to Follow His Client’s Instructions?

Apr 29, 2022 Investor Disputes

Mojgan Mohammadi (CRD #: 6686477), a broker and investment advisor registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, was involved in an investor dispute, according to his BrokerCheck record, accessed on April 18, 2022. 

According to the allegations filed on January 19, 2022, Mojgan Mohammadi failed to follow his client's instructions in October 2021. The case was denied. 

Denials simply mean the brokerage firm denies that their broker engaged in misconduct—they do not indicate a third-party review of the dispute. Investors should know that they can still recover their losses following a denial. Speak to a securities lawyer if you have questions about what steps to take next. 

FINRA Rule 2010

Failure to follow customer instructions violates FINRA Rule 2010, which requires all registered members to observe high standards of commercial honor and just principles in their business dealings. 

When a broker fails to follow your instruction and/or fails to execute your order promptly, you may be able to recover your investment losses resulting from the failure to follow your instructions.

Background Information

Mojgan Mohammadi has passed the following exams:

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

Mojgan Mohammadi is a registered broker in 26 states. He is also a registered investment advisor in Texas and California. 

Besides Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mojgan Mohammadi has not worked with any other firm.

Kurta Law Can Help

If you have worked with Mojgan Mohammadi and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors 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.