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Harris Kirk Named in FINRA Investigation

Harris KirkThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Texas-based Reef Securities broker Harris Kirk (CRD# 2986387).

Harris Kirk has spent sixteen years in the securities industry and has been registered with Reef Securities in Richardson, Texas since October 2015. Previous registrations include Chestnut Exploration Partners in Richardson, Texas (2014-2015) and Reef Securities in Richardson, Texas (1998-2013). He is a registered broker in five US states: California, Minnesota, Oklahoma, Ohio, and Texas.

According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Harris Kirk is the subject of one regulatory sanction, two customer complaints, and one pending FINRA investigation. He was additionally discharged from Reef Securities.

In 2015 a customer alleged Harris Kirk, while employed at RSI Securities, failed to supervise a representative, failed to conduct independent due diligence, breached contract, and failed to disclose risks associated with an investment in oil and gas interests and other securities. The complaint settled for $25,000, to which Mr. Kirk individually contributed $12,500.

In 2014 Harris Kirk was named respondent in a FINRA investigation into allegations he violated federal securities laws or regulations. The investigation remains pending.

In 2013 Harris Kirk was discharged from his position at Reef Securities following allegations he provided inaccurate information regarding outside business activities and engaged in “actions inconsistent with corporate policy and management.”

In 2008 a customer alleged Harris Kirk, while employed at Reef Securities, misled him with respect to an investment in a Reef Oil and Gas Partners-sponsored joint venture. The complaint settled for $45,000.

In 1998 the South Carolina Securities Division sanctioned Harris Kirk following allegations he submitted a materially incomplete application. He was suspended from acting in all capacities in the securities industry for thirty days.

If you have complaints regarding or have lost money investing with Harris Kirk, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. Fitapelli Kurta takes every case on a contingency basis, which means we only get paid if and when you collect money. By law there may be a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.