(888) 637-5510

Written by 7:40 pm Blog, Securities Fraud Articles

Edmond John Harris barred from securities industry

According to a recent FINRA announcement, Edmond John Harris (CRD #237825, Lighthouse Point, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Harris consented to the sanction and to the entry of findings that he refused to respond to FINRA’s request for information in connection with an investigation into whether he had improperly exercised discretionary trading authority in customer accounts.

For the full findings, se FINRA Case #2014043428601.

According to his FINRA Broker Check, Harris was registered with Ladenburg Thalmann from 11/2002 – 11/2014.

The foregoing information has been provided by The White Law Group.  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 a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9760.

For more information on the firm and its representation of investors, visit https://whitesecuritieslaw.com.

Last modified: December 16, 2015