Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 4, 2016 indicate that former New York-based Radnor Trading & Research broker Talman Harris has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harris (CRD# 3209947).
Talman Harris has spent fifteen years in the securities industry and was most recently registered with Radnor Trading & Research in New York, New York (2011-2015). Previous registrations include First Merger Capital in New York, New York; Seaboard Securities, which has been expelled by FINRA, in New York, New York; Martinez-Aymes Securities, which has been expelled by FINRA, in New York, New York; Basic Investors in New York, New York; Legend Securities in New York, New York; New York Global Securities in New York, New York; Benchmark Securities in Oklahoma City, Oklahoma; H&R Block Financial Advisors in Detroit, Michigan; Harrison Securities, which has been expelled by FINRA, in Port Washington, New York; Ehrenkrantz King Nussbaum, which has been expelled by FINRA, in Melville, New York; Ehrenkrantz King Nussbaum in New York, New York; Investc Ernst & Company in New York, New York; Joseph Stevens & Company in Brooklyn, New York; Spencer Clarke LLC in New York, New York; and Cambridge Capital, which has been expelled by FINRA, in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, Talman Harris has received one pending regulatory sanction and one regulatory sanction on appeal. He was also discharged from Radnor Trading & Research.
In January 2015 Talman Harris was terminated from Radnor Trading & Research following a FINRA sanction.
In January 2015 FINRA named Talman Harris respondent in a complaint alleging he “prevented a review by his member firm’s home office compliance staff of a written customer complaint by marking the email as privileged,” when he “had an obligation to bring the customer’s complaint letter to the attention of the firm’s compliance staff so they could take appropriate action.” The action remains pending.
In 2012 FINRA sanctioned Talman Harris following allegations he sold customers securities in a company without disclosing that he had previously received $350,000 from that company in connection to consulting services. He was issued a permanent bar, which is pending appeal.
If you have complaints regarding Talman Harris, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.