Tag Archives: Harry Bennett

Transamerica Financial Advisors Stockbroker Barred In Investigation

November 30, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Harry Bennett, of New Boston, Michigan, a stockbroker formerly associated with Transamerica, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that Bennett obstructed a FINRA investigation into allegations that Bennett made unsuitable investment recommendations to customers. Letter of Acceptance, Waiver and Consent, No. 2016049208901 […]

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