BRION PATRICK HARRIS (BRION P HARRIS) is currently listed a broker with CETERA WEALTH SERVICES, LLC, of Annapolis, Maryland since 9/20/2019 and as an investment advisor since 6/29/2023 with CETERA INVESTMENT ADVISERS LLC of Annapolis, Maryland. Harris was previously listed with SUMMIT FINANCIAL GROUP INC of Annapolis, Maryland as an investment advisor from 10/16/2013 - 05/20/2021, and as a broker with SUMMIT BROKERAGE SERVICES INC of Annapolis, Maryland from 10/16/2013 - 09/20/2019.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRION P HARRIS has 26 years of experience in the securities industry and has been listed with 10 firms.
BRION P HARRIS has 10 disclosures on his FINRA CRD report, 2 are “Regulatory” disclosures, 1 is an “Employment Separation after Allegations,” and 7 are “Customer Disputes.” One dispute was denied and 6 have settled. The significance of BRION P HARRIS’ disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words, BRION P HARRIS’ customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
Some of the settled “Customer Disputes” filed against BRION P HARRIS are listed below:
The most recent “Customer Dispute” is dated 10/17/2024. The allegations were “Claimants allege unsuitable investment recommendations which resulted in losses.” The settlement amount was $24,000.00.
Another dispute against BRION P HARRIS dated 1/30/2023 settled for $100,000.00 following these allegations, “Claimants allege they were recommended and overconcentrated in unsuitable investments.”
A “Customer Dispute” filed against Harris dated 12/22/2022 settled for $190,000.00 with allegations of, “Claimants allege they were recommended unsuitable investments.”
On 2/28/2011 a dispute against Harris was settled for $342,771.47 following the allegations of, “THE CLIENT ALLEGED THE REPRESENTATIVE DID NOT FULLY DISCLOSE THE DETAILS NOR PROVIDE A PROSPECTUS FOR THE SALE OF A VARIABLE ANNUITY PURCHASED IN NOVEMBER 2010. THE CLIENT ADDITIONALLY ALLEGED THE REPRESENTATIVE DID NOT DISCLOSE THE REIT PURCHASED IN NOVEMBER 2010 WAS ILLIQUID.” There is a Broker Comment listed.
One of the “Regulatory” disclosures filed by FINRA against BRION P HARRIS was dated 8/22/2013. This dispute fined Harris $5,000.00 and suspended him for one month.
To discuss this article or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
LINCOLN LUCAS MASON (LINCOLN L MASON) formerly of Edward Jones of Arnolds Park, Iowa, from 03/29/2019 - 12/23/2021, was suspended for 90 days and fined $5,000.00 by FINRA. Mason was previously registered both as an investment advisor and as a broker. According to the FINRA report, without admitting or denying FINRA’s findings, LINCOLN L MASON […]
Investors have reportedly disputed the sales practices of securities broker John Howard Saunders [CRD: 870131, Vero Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saunders has been registered with UBS Financial Services Inc. since May 11, 2007, operating from both Vero Beach, Florida, and Roanoke, Virginia. Read on to discover […]
Investors potentially experienced sales practice violations due to securities broker Edward Muster [CRD: 1012341, Boca Raton, Florida], based on public information on FINRA BrokerCheck. Evidently, Edward Muster worked for Herbert J. Sims Co. Inc. from May 14, 1998, to July 7, 2020. Keep reading to find out more about Edward Muster’s disclosures. Herbert J. Sims […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com