The following was obtained by Soreide Law Group on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.”
Harry Colon Bennett (CRD#: 2395555, New Boston, Michigan)
was barred by FINRA allegedly for refusing to appear for FINRA on-the-record testimony in connection with an investigation involving allegations that he may have engaged in sales practice violations by charging excessive commissions and recommending unsuitable transactions to his customers.
FINRA’s findings stated that Bennett’s refusal to appear for on-the-record testimony prevented FINRA from reaching a determination as to whether the alleged violations occurred.
(FINRA Case #2016049208901)
FINRA has permanently barred Harry Colon Bennett from acting as a broker or otherwise associating with firms that sell securities to the public. Harry C. Bennett was registered in the securities industry for 22 years and the last firm he was registered with is listed below:
06/12/1997 - 03/11/2016 TRANSAMERICA FINANCIAL ADVISORS, INC - NEW BOSTON, MI
If you were a client of former Transamerica Financial Advisors broker, Harry Colon Bennett, of New Boston, Michigan, and experienced financial losses due to his recommendations or actions, call Soreide Law Group for a no cost consultation regarding the possible recovery of your investment at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and operates on a contingency fee basis.
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