Brion Patrick Harris (Brion Harris) Fired by Lincoln Financial Securities Corporation – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses - Brion Patrick Harris (Brion Harris) Fired by Lincoln Financial Securities Corporation
Since 2013, Brion Harris has been licensed with Summit Brokerage Services, Inc. Brion Harris was previously licensed with Cambridge Investment Research, Inc. and Lincoln Financial Securities Corporation. According to FINRA’s records Brion Harris was fired by Lincoln Financial Securities Corporation on July 31, 2012. Lincoln Financial Securities Corporation reported to FINRA that Brion Harris was terminated for loss of confidence after discovery of backdated client documents used to meet a product closing deadline and for Brion Harris’ involvement in referring his clients to purchase equity indexed annuities not on the firm’s approved list.
Subsequent to Brion Harris’ firing by Lincoln Financial Securities Corporation, FINRA investigated Brion Harris and brought a disciplinary action against Brion Harris. Brion Harris consented to a one month suspension from the securities and investment banking industry and a $5,000 fine. Brion Harris also consented to findings that Brion Harris submitted customer subscription documents to Brion Harris’ member firm that contained backdated signatures. The subscription documents were submitted on behalf of Brion Harris’ customers and were for six investments totaling $328,000 in the common stock of a Real Estate Investment Trust (REIT).
FINRA also reports that Brion Harris had his California Insurance License revoked and was re-issued a restricted license by the State of California.
If you lost any money on investments with Brion Harris, you may be able to recover your losses from Summit Brokerage Services, Inc., Cambridge Investment Research, Inc. and/or Lincoln Financial Securities Corporation. This is because Summit Brokerage Services, Inc., Cambridge Investment Research, Inc. and Lincoln Financial Securities Corporation had a duty to supervise Brion Harris.
If you lost money on investments with Brion Harris and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Summit Brokerage Services, Inc., Cambridge Investment Research, Inc. and/or Lincoln Financial Securities Corporation concerning Brion Harris’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq, formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Brion Harris and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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