Investors Allege They Were Not Fully Informed About Clifford Harro

Clifford Harro (CRD #: 1965475), a broker registered with J.W. Cole Financial, is named in a pending dispute, according to his BrokerCheck record, accessed on October 2, 2022. If you want to know more about his conduct as a broker, keep reading.

Investor Dispute

On July 28, 2022, several investors alleged that J.W. Cole Financial failed to provide them with the required documentation concerning Clifford Harro before they began investing with him. The clients request that their contracts be canceled and account values reinstated, and seek $50,000 in damages. This dispute is currently pending.

Clifford Harro has two other investor disputes on his record. 

Regulation Best Interest

Regulation Best Interest (Reg-BI) is a regulation established by the Securities and Exchange Commission that requires brokerage firms to put their clients’ best interests before their own. Firms have an obligation to provide information about their representatives’ disciplinary history. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Clifford Harro has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Clifford Harro is a registered broker in nine states.

He has also worked for the following firms:

• MML Investors Services (CRD#:10409)
• Hornor, Townsend & Kent (CRD#:4031)
• NYLIFE Securities (CRD#:5167)

Kurta Law Can Help

If you worked with Clifford Harro and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.