Patrick Richard Harrison (CRD #4976695, Fircrest, Washington)
was barred by FINRA for allegedly participating in a series of private securities transactions by introducing two senior investors to an individual who purported to sell the investors discounted shares in a publically traded regional bank without providing prior notice to his member firm.
FINRA's findings stated that in addition to making the introductions, Harrison participated in phone calls involving the investors and the individual, and assisted in the mechanics of having funds transferred or deposited with the individual and/or entities the individual controlled. Harrison received over $14,000 from the individual. The individual ultimately never delivered any shares to the investors, who lost over $340,000 as a result.
Also, FINRA's findings stated that Harrison made misstatements and omissions concerning the investment to the investors. Harrison failed to adequately respond to red flags that the investment opportunity being presented was not genuine.
(FINRA Case #2014041898801)
Patrick Richard Harrison was registered in the securities industry for 7 years and was previously registered with the following securities firm(s):
08/2013 - 07/2014 CUSO FINANCIAL SERVICES, L.P. (CRD# 42132) - TACOMA, WA
06/2012 - 09/2012 BANCWEST INVESTMENT SERVICES, INC. (CRD# 29357) - PORTLAND, OR
01/2011 - 06/2012 WELLS FARGO ADVISORS, LLC (CRD# 19616) - PORTLAND, OR
09/2006 - 01/2011 WELLS FARGO INVESTMENTS, LLC (CRD# 10582) - PORTLAND, OR
11/2005 - 03/2006 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD# 2881) - LAKE OSWEGO, OR
This summation was obtained on FINRA's website under "Disciplinary and Other Actions, January, 2015" and ends here.
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