Marc Harrison (CRD #1605568) Has a Regulatory Disclosure on FINRA BrokerCheck

Marc Harrison (CRD #1605568) is a broker with a regulatory disclosure on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 28, 2026. It reflects one pending regulatory event. If you invested with Marc Harrison and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Actions

Marc Harrison’s FINRA BrokerCheck Report reflects one pending regulatory disclosure. A summary of the disclosure follows.

On March 2, 2026, FINRA initiated a pending regulatory action involving Harrison and others at Reid & Rudiger LLC. The FINRA complaint says FINRA named the firm, Harrison, Kelli Mezzatesta, Clifford Reid, and Edward Rudiger Jr. as respondents. The complaint says Reid and Rudiger churned customer accounts and used a high-cost trading strategy that caused losses. Harrison is cited for supervisory failures. Marc Harrison’s FINRA BrokerCheck Report states that Harrison denied and disputed the allegations. It also says he intends to contest the matter.

Rule Summary #1: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to keep a supervisory system. That system must be designed to follow securities laws and FINRA rules. In this case, the complaint focuses on missed red flags and supervisory review.

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

FINRA Rule 2010 requires high standards of commercial honor. It also requires just and equitable principles of trade. Regulatory actions often cite this rule when FINRA says conduct fell below industry standards.

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, Marc Harrison:

Is currently registered with Reid & Rudiger LLC.

Has passed the Securities Industry Essentials (SIE) exam. Harrison has passed Series 4, Series 24, Series 79TO, Series 87, and Series 7. He has also passed Series 65 and Series 63.

Was previously registered with firms that include Emmett A Larkin Company, Gruntal & Co., L.L.C., and Marketfield Securities Limited.

Kurta Law Can Help

If you worked with Marc Harrison, Kurta Law may be able to help. The firm can help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful Resources: FINRA Rule 3110 | Securities Fraud.

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.