Jonathan Steven Harris of Palm Beach Florida is a stockbroker currently registered with Stifel Nicolaus and Company Inc. who is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,550,000.00 in damages supported by accusations that Harris (1) omitted information from the customer regarding the risks of investing in options and (2) made misrepresentations relating to the investment strategy selected for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-03225 (Dec. 8, 2017).
FINRA Public Disclosure additionally reveals that on November 30, 2012, a customer initiated investment related written complaint pertaining to Harris’ activities was resolved for $4,000.00 in damages founded on allegations that while Harris was associated with Barclay’s Capital Inc., the customer’s instructions were not followed concerning options investments.
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