Steven Harris – Financial Advisor/Broker Steven Harris Named in FINRA Complaint | Goodman & Nekvasil, P.A. May Recover Investor Losses
Steven Harris CRD #2440292
Steven Harris was a previously licensed financial advisor/broker with Transamerica Financial Advisors, Inc., MML Investors Services, LLC and MSI Financial Services, In. According to Steven Harris’ BrokerCheck Report, Steven Harris was named a respondent in a FINRA complaint.
According to FINRA Allegations:
Steven Harris was named a respondent in a FINRA complaint alleging that Steven Harris manufactured faked documents that Steven Harris then provided to FINRA in response to its requests during an investigation of his undisclosed outside business activity. The complaint alleges that FINRA requested that Steven Harris provide certain financial information and bank statements and in response Steven Harris provided false and incomplete information to it. Steven Harris failed to disclose the accounts he actually held and provide the requested statements for those accounts. Instead, Steven Harris created fake bank statements for other accounts he purported to hold and provided the manufactured documents to FINRA. The complaint also alleges that Steven Harris repeatedly lied about his actions during on-the-record testimony, falsely claiming that he did not alter any of the records that he produced to FINRA. The complaint further alleges that Steven Harris engaged in an undisclosed outside business activity for compensation. The outside business activity involved securities investment research and advice for which he was paid $750.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Steven Harris and believe 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 concerning Steven 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 $180 million on behalf of victimized investors. If you lost money on investments with Steven 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.
Some of the information in this blog post was obtained on 4/21/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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