Norman Ray Harp, of Leawood, Kansas, a stockbroker registered with B.B. Graham Company Inc. and Moloney Securities Co. Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $101,000.00 in damages based upon allegations that Harp engaged in unsuitable trading and was negligent in connection with the sale of corporate bonds. Financial Industry Regulatory Authority (FINRA) Arbitration No. 23-01959 (July 31, 2023).
This is not the first time that Harp has been referenced in a customer initiated investment related dispute concerning Harp’s conduct in the securities industry. FINRA Public Disclosure shows that Harp was also referenced in a customer initiated investment related complaint filed on August 20, 2011, in which the customer requested $6,010.00 in damages based upon allegations that Harp made unsuitable recommendations in variable annuities during the time that Harp was associated with Royal Alliance Associates Inc.
Harp was associated with Moloney Securities Co. Inc. in Leawood, Kansas from July 21, 2008, to December 12, 2017. Harp has been associated with B.B. Graham Company Inc. in Leawood, Kansas since December 12, 2017, and with Retirement Resources Inc. in Leawood, Kansas since March 19, 2013.
