The Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.”
Talman Anthony Harris (CRD #3209947, Garden City, New York)
was barred by FINRA for allegedly fraudulently omitting material facts when soliciting purchases of securities and engaged in outside business activities without providing his member firm with prompt written notice. The SEC sustained the sanction and findings the NAC had imposed.
FINRA’s findings stated that in connection with the sale of $961,825 worth of a corporation’s securities, Harris failed to disclose material facts to clients in that he and another individual received a $350,000 fee for advisory services from the corporation and that he had a business relationship with the corporation.
FINRA states that Talman A. Harris must have known that both the payment and his ongoing business relationship with the corporation gave him obvious conflicts of interest that had the potential to influence his decision of what securities to recommend to his clients.
FINRA’s findings also stated that Harris did not disclose to his firm the activities in which he engaged that led to the $350,000 fee or that he received the fee.
This matter has been appealed to the U.S. Court of Appeals for the Second Circuit. The bar is in effect pending review.
(FINRA Case #2009019108901)
After 15 years of registration in the securities industry, FINRA has permanently barred Talman Anthony Harris from acting as a broker or otherwise associating with firms that sell securities to the public. Some of the firms he was registered with were:
05/2011 - 01/2015 RADNOR RESEARCH & TRADING COMPANY LLC - NEW YORK, NY
02/2010 - 04/2011 FIRST MERGER CAPITAL, INC - NEW YORK, NY
05/2009 - 02/2010 SEABOARD SECURITIES, INC. - NEW YORK, NY
FINRA expelled the firm in 02/2011
10/2008 - 04/2009 MARTINEZ-AYME SECURITIES - NEW YORK, NY
FINRA expelled the firm in 06/2015
07/2007 - 10/2008 BASIC INVESTORS INC. - NEW YORK, NY
If you suffered losses due to the recommendations of former Radnor Research & Trading Co. broker, Talman Anthony Harris, contact Soreide Law Group for a no-cost consultation with a lawyer regarding the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee.
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