Investors potentially experienced sales practice violations due to securities broker Alan Bartlett Harrison (also known as Bart Harrison) [CRD: 1616987, Trussville, Alabama], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrison has been registered with Concorde Investment Services LLC since May 6, 2015. Read on to discover more about Harrison’s disclosures and the pending client disputes connected to his work.
Also, on March 28, 2025, a Concorde Investment Services client filed FINRA Arbitration No. 25-00627 about Alan Harrison. Primarily, the client alleged that Harrison violated Alabama securities laws, made misrepresentations, breached his fiduciary duty, and was negligent. For this reason, the client allegedly sustained damages on direct investments made in October 2019. As a result, the client requested $200,000.00 in compensation from Concorde Investment Services or Harrison. This arbitration is pending a resolution.
Specifically, a client of Concorde Investment Services disputed Alan Harrison’s sales practices by filing FINRA Arbitration No. 25-00282 on February 10, 2025. Allegedly, Harrison was negligent, breached a contract, violated FINRA rules, and breached his fiduciary duty in connection with direct investments. Consequently, the client seeks compensation from Concorde Investment Services or Harrison in the amount of $125,000.00 in this ongoing matter.
Notably, on May 20, 2024, a Concorde Investment Services LLC client filed a complaint about Alan Harrison. Mainly, the client alleged that Harrison made misrepresentations regarding a direct investment. Because of this, the client allegedly sustained damages. Therefore, the client requested damages believed to exceed $5,000.00 in compensation from Concorde Investment Services LLC or Harrison.
Evidently, a client of Concorde Investment Services LLC contested Alan Harrison’s sales practices, according to a complaint dated November 4, 2022. Allegedly, Harrison failed to disclose information about a direct investment. Consequently, the client sought compensation from Concorde Investment Services LLC or Harrison in this matter. This matter closed without a resolution.
Do you have concerns or questions regarding investments you made with Alan Harrison? You can get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Harrison and brokerage firms Harrison worked for deny accusations referenced in public disclosures.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
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