Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Kansas-based Summit Brokerage Services broker/adviser John Harrison III has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Harrison (CRD# 3176071).
John Harrison has spent 17 years in the securities industry and has been registered with Summit Brokerage Services in Leawood, Kansas since 2009. Previous registrations include UBS Financial Services in Leawood, Kansas; Banc of America Investment Services in Liberty, Missouri; Commerce Brokerage Services in Clayton, Missouri; Firstar Investment Services in Morris Plains, New Jersey; and Mercantile Investment Services in St. Louis, Missouri. He is a registered broker and investment adviser with 29 US states and territories.
According to his BrokerCheck report, John Harrison has received one customer complaint and one pending customer complaint.
In August 2015, a customer alleged John Harrison, while employed at Summit Brokerage Services, failed to accept orders to sell certain stocks. The customer is seeking $1,000,000 in damages in the pending complaint.
In 2011, a customer alleged John Harrison, while employed at UBS Financial Services, misrepresented material facts related to a variable annuity investment. The complaint settled in 2012 for $39,000.
In 2002, a customer alleged John Harrison, while employed at Firstar Investment Services, did not place an order. The customer sought $13,400 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding John Harrison III, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.