The Florida-based, Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.”
ELLIOT HARRIS (CRD# 2496586), Delray Beach, Florida)
was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during the course of FINRA's investigation into allegations that he recommended unsuitable trades and engaged in unauthorized trading.
(FINRA Case #2015048233601)
FINRA has permanently barred Elliot Harris from acting as a broker or otherwise associating with firms that sell securities to the public.
Elliot Harris has been in the securities industry 21 years, according to FINRA’s BrokerCheck and currently has four pending customer disputes totaling in the millions of dollars. He was previously registered with the following firms:
01/2010 - 12/2015 TRIAD ADVISORS, INC. - NORCROSS, GA
07/2009 - 12/2015 LADENBURG THALMANN & CO. INC. - BOCA RATON, FL
Soreide Law Group, based in Pompano Beach, Florida, represents clients nationwide before FINRA. If you were a client of Elliot Harris formerly of Ladenburg Thalmann of Boca Raton, or Triad Advisors of Norcross, Georgia, and you experienced losses due to his actions or recommendations, call and speak to a lawyer at no cost regarding the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related specifically to Next Level Holdings LLC and its affiliated Yield Wealth investment products. These offerings—including Next Level Notes and Yield Term Deposits—were promoted as high-yield, income-generating investments with purported principal protection. However, significant adverse information has […]
Investors have reportedly disputed the sales practices of securities broker David Robert McCain [CRD: 2039283, Johnson City, Tennessee], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCain worked for Woodbury Financial Services Inc. from September 4, 2009, to January 19, 2024, Osaic Wealth Inc. from January 19, 2024, to August 22, 2024, and […]
Investors apparently complained about securities broker Ian Christopher McElreath [CRD: 4754189, Atlanta, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McElreath worked for Ameritas Investment Company LLC from November 26, 2019, to April 6, 2021; 20/20 Capital Management, Inc from January 17, 2020, to April 20, 2021; Emerson Equity […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com