EDMOND J. HARRIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043428601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edmond J. Harris, Respondent General Securities Representative [CRD No. 237825] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Edmond J. Harris, submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014043428601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	237825

Other names1

Also known as1

EDMOND JOHN HARRIS

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