Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas)
was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly engaging in an unapproved outside business activity by selling an equity-indexed annuity not approved for sale by his member firm to a client, and receiving compensation as a result.
FINRA's findings stated that Harmon failed to complete an outside business activity disclosure (OBA) form, an OBA questionnaire, or receive his firm’s prior approval to sell the equity-indexed annuity. Harmon denied that he received compensation from the transaction to FINRA.
Nathan Harmon's suspension is in effect from November 3, 2014, through August 2, 2015. (FINRA Case #2013037822701)
NATHAN A HARMON was registered in the securities industry for 8 years and was previously registered with the following securities firm(s):
03/2009 - 02/2014 NEXT FINANCIAL GROUP, INC. (CRD# 46214) - SAN ANTONIO, TX
07/2005 - 03/2009 INTERSECURITIES, INC. (CRD# 16164) - SAN ANTONIO, TX
This summation of information obtained from FINRA’s website "Disciplinary and Other FINRA Actions, December 2014," ends here.
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