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.
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