NORMAN A. HARRIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NORMAN A. HARRIS (CRD No. 4309293), Respondent. Disciplinary Proceeding No. 2005001824501 Hearing Officer - DMF DEFAULT DECISION November 28, 2006 Summary Respondent is barred from associating with any NASD member in any capacity for failing to respond to requests for information, in violation of Rules 8210 and 2110. In light of the bar, no additional sanctions are imposed
Reference 2005001824501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4309293

Other names1

Also known as1

NORMAN ALBERT HARRIS

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