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Written by 3:54 pm Blog, Current Investigations

Elliot Harris Barred from Securities Industry

Elliot Harris

Recovery of Investment Losses with Elliot Harris

Are you concerned about investment losses with Elliot Harris? If so, The White Law Group may be able to help you recover your losses through FINRA Arbitration.

According to FINRA, Elliot Harris (CRD #2496586, Delray Beach, Florida) 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 failed to provide FINRA with requested documents and information during the course of its investigation into allegations that he recommended unsuitable trades and engaged in unauthorized trading.

For FINRA’s full findings see FINRA Case  number 2015048233601.

According to FINRA BrokerCheck, Harris was registered with Triad Advisors in Norcross, GA from
01/2010 – 12/2015. He has five pending customer disputes listed on his Broker Report. Allegations include breach of contract, fraud/negligence, unauthorized transactions, churning, breach of fiduciary duty, and misrepresentation.

Failure to Supervise

Brokerage firms are required to properly supervise all advisors they employ and to ensure that those advisors are complying with applicable FINRA rules and regulations.  If these allegations can be proven and if it can be demonstrated that Harris’ former employer failed to properly supervise him, his employer may be held responsible for the losses in a FINRA arbitration claim.

If you suffered losses investing with Elliot Harris, the attorneys at The White Law Group may be able to help.  For a free consultation, please call (888)637-5510.

The foregoing information, which is all publicly available on FINRA’s website, is being 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 more information on the firm and it’s representation of investors, visit www.whitesecuritieslaw.com.


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