Harold Harrison Allegedly Failed to Comply with FINRA
Harold Harrison (CRD #: 238322), a broker formerly registered with Lincoln Financial Advisors, has been suspended by FINRA for allegedly failing to for failure to comply with an arbitration award or settlement agreement, according to his BrokerCheck Record accessed on December 6, 2021.
FINRA arbitration awards are binding and can only be appealed under extreme circumstances. Registered representatives or firms subject to an adverse decision in award-related arbitration proceedings are required to pay an award within 30 days. Failure to take action could result in suspension. Notably, FINRA Rule 9554 contains expedited disciplinary procedures for a broker or broker-dealer’s failure to comply with the terms of an arbitration award.
Harold Harrison was suspended indefinitely from October 5, 2021. The suspension will continue until he fully pays the arbitration award.
You can access the full arbitration award here.
Harold Harrison 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 1 – Registered Representative Examination
- Series 26 – Investment Company Products/Variable Contracts Principal Examination
Harold Harrison has also worked with the following firms:
- UBS Financial Services (CRD#:8174)
- GWN Securities (CRD#:128929)
- Security Distributors (CRD#:3336)
- AAG Securities (CRD#:36451)
- Metropolitan Life Insurance Company (CRD#:4095)
- MetLife Securities (CRD#:14251)
- UR Financial (CRD#:10509)
- H. C. Copeland And Associates Equities (CRD#:7447)
- The Lincoln National Life Insurance Company (CRD#:2580)
- Suncan Equity Services Company (CRD#:5496)
- The Variable Annuity Marketing Company (CRD#:5081)
- TransAmerica Fund Sales (CRD#:3600)
Kurta Law Can Help
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