According to FINRA’s November Disciplinary Action Report, Lighthouse Point, Florida based broker Edmond Harris recently agreed to be permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.
Without admitting to or denying the Financial Industry Regulatory Authority findings, Harris consented that he refused to respond to FINRA’s request for information.
FINRA sent Harris multiple letters requesting information in connection with an investigation to determine if he had improperly exercised discretionary trading in customer accounts. For the full FINRA findings, see FINRA Case #2014043428601.
According to BrokerCheck, Harris entered the securities industry in 1978 and worked with several firms over the course of his career. In recent years, Harris was a registered representative of Ladenburg Thalmann & Co from 11/2002 – 11/2014
If you were a client of Edmond Harris and suffered investment losses, The White Law Group may be able to help. For a free consultation please call the securities attorneys of The White Law Group at 312-238-9650 for a free consultation.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For more information on The White Law Group, visit www.WhiteSecuritiesLaw.com.