Tag Archives: BMO Harris Financial Advisors Inc.

Investors Sue BMO Harris For Structured Note Fraud

July 11, 2020  |   Posted by :   |   Securities Arbitration Claims, Securities Fraud, Structured Products   |   Comments Off on Investors Sue BMO Harris For Structured Note Fraud

Keith Frederick France of Indianapolis Indiana a stockbroker formerly registered with BMO Harris Financial Advisors Inc. is the subject of a customer initiated investment related complaint on April 29, 2019 in which the customer requested more than $5,000.00 in damages based upon allegations that the customer had been sold a market linked certificate of deposit […]

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BMO Harris Financial Blamed For Annuity Investment

Paul Dennis Benish of Janesville Wisconsin a stockbroker formerly employed by BMO Harris Financial Advisors Inc. is referenced in a customer initiated investment related complaint on September 23, 2016 where the customer sought $44,000.00 in damages based upon allegations that (1) the terms and conditions of a variable annuity investment sold to the customer had […]

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Investors Sue BMO Harris Over Handling Of Trust Accounts

Craig Robert Kowitt of Libertyville Illinois a stockbroker formerly registered with BMO Harris Financial Advisors Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested as much as $70,000.00 in damages supported by allegations that Kowitt breached his contractual obligations to the customer and violated regulatory rules and securities […]

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BMO Harris Broker Barred By FINRA For Failure To Comply

Brandon M. Williams of Madison Wisconsin a stockbroker formerly registered with BMO Harris Financial Advisors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to respond to FINRA’s request for Williams’ information. Case No. 2017055123601 (Nov. 22, 2017). On November 22, […]

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