Steven Harris BARRED From FINRA (Transamerica Financial) Read More »
source https://financialadvisorcomplaints.com/steven-harris-barred-from-finra-transamerica-financial/
Wednesday, 28 April 2021
Steven Harris BARRED From FINRA (Transamerica Financial)
According to publicly available documents, Steven Harris, a former financial adviser to Transamerica Financial Advisors, Inc., disclosed two regulatory events: termination and expulsion from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the authority that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints, disputes, …
source https://financialadvisorcomplaints.com/steven-harris-barred-from-finra-transamerica-financial/
source https://financialadvisorcomplaints.com/steven-harris-barred-from-finra-transamerica-financial/
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