Forouzan Pooladi, Formerly of JP Morgan, Barred by FINRA After Failing to Cooperate

FINRA began its investigation of Pooladi after allegations of converting client funds.

The Sonn Law Group is investigating allegations that Forouzan Pooladi converted client funds. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

forouzan-pooladi-failure-to-cooperateForouzan Pooladi (CRD#: 6642157) was registered as a broker with JP Morgan from 2016 until 2019. Pooladi was barred by FINRA in August 2020 after refusing to produce documents and information requested by FINRA during the course of their investigation into Pooladi.

The investigation was initiated after FINRA received a Form U5 from Pooladi’s member firm indicating that she was terminated for violating an affiliate bank’s policy governing personal finances. Pooladi allegedly conducted 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 has one other disclosure on her BrokerCheck report.

September 2019

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The Sonn Law Group is currently investigating allegations that Forouzan Pooladi converted client funds. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.