FINRA bars Tyler Harris (CRD #5860060, Elkins Park, Pennsylvania)
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As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on Raymond James’s actions in improperly charging certain clients advisory fees when the...read more
Tyler Harris (CRD #5860060, Elkins Park, Pennsylvania) April 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Harris was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Harris consented to the sanction and to the entry of findings that he failed to produce to FINRA information and documents in connection with its investigation into allegations related to Harris’ conduct in his personal bank account, based upon a Uniform Termination Notice for Securities Industry Registration (Form U5) filed on his behalf by his former member firm. (FINRA Case #2017055416501)
If you or someone you know has lost money investing with Tyler Harris call the experienced FINRA arbitration attorneys at Epperson & Greenidge, P.A. at 877-445-9261 for a free consultation. You may be eligible to recoup your losses. Epperson & Greenidge, P.A. accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-445-9261 now to speak to an attorney for free.