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Jacob Lee Harper

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/10/2025: Between November 2024 and January 2025, Harper violated FINRA Rules 3240 and 2010 by borrowing $50,000 from two customers without seeking or obtaining prior written approval from his firm. In April and May 2025, Harper violated FINRA Rules 8210 and 2010 by initially providing false, misleading, and incomplete responses to FINRA about these loans. From May 2024 through May 2025, Harper violated FINRA Rules 3210 and 2010 by partially funding and effecting trades in three securities accounts at another member firm without obtaining prior written consent from his firms. For these violations, Harper is suspended 22 months in all capacities and fined $17,500.

    Reference 2025085030301data-portal.finra.orgfinra.org

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