Eric Harris Resigned from Charles Schwab & Co.
Eric Harris (CRD #: 5967139) has voluntarily resigned from Charles Schwab & Co. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. Keep reading if you have questions regarding his alleged conduct.
Employment Separation After Allegations
On September 3, 2024, Eric Harris voluntarily resigned from Charles Schwab & Co. following allegations that he inaccurately documented client interactions.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Inaccurately documenting client interactions may violate this rule.
Background Information
Eric Harris has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 3 National Commodity Futures Examination
- Series 7 General Securities Representative Examination
Kurta Law Can Help
If you worked with Eric Harris and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.