Harrison L. Fisher (CRD #7560884) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Harrison L. Fisher (CRD #7560884) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed his BrokerCheck report on May 13, 2026. It reflects one pending customer dispute. If you invested with Harrison Fisher and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Harrison Fisher’s FINRA BrokerCheck Report reflects one pending customer dispute disclosure. A summary of the dispute is below:

On March 17, 2026, a customer alleged Harrison Fisher reallocated positions without authorization. The customer alleged the reallocations caused taxes on capital gains and losses on purchased securities. Harrison Fisher FINRA BrokerCheck lists the product as equity listed stock. The firm was Wells Fargo Advisors, LLC. BrokerCheck states the complaint is pending. The firm said it could not make a good faith finding that the claim was under $5,000.

Rule Summary #1: FINRA Rule 3260 (Discretionary Accounts)

FINRA Rule 3260 limits discretionary trading in customer accounts. It generally requires prior written customer authorization and firm approval before a representative can use discretion.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires fair and ethical conduct in the securities business. Unauthorized trading concerns may raise questions under this broad conduct rule.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Harrison Fisher:

Is currently registered with Wells Fargo Advisors and Wells Fargo Clearing Services, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Harrison Fisher has passed Series 7TO and Series 66.

Was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Kurta Law Can Help

If you have worked with Harrison Fisher and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unauthorized Trading | Securities Attorney

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.