Tag Archives: Steven Harris

Transamerica Stockbroker Barred In Investigation

August 27, 2020  |   Posted by :   |   Securities Arbitration Claims   |   Comments Off on Transamerica Stockbroker Barred In Investigation

Steven Harris of Burr Ridge Illinois a stockbroker formerly associated with Transamerica Financial Advisors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that Harris failed to cooperate with FINRA personnel during an investigation into allegations of his misconduct that […]

Read More »

Transamerica Stockbroker Charged With Lying To FINRA

April 08, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on Transamerica Stockbroker Charged With Lying To FINRA

Steven Harris of Burr Ridge Illinois a stockbroker formerly registered with Transamerica Financial Advisors Inc. is the subject of a Financial industry Regulatory Authority (FINRA) Complaint alleging that (1) Harris engaged in outside business activities and (2) Harris falsified documents and testimony while he was investigated by FINRA personnel for his outside activities. Department of […]

Read More »

FINRA Investigates Transamerica Financial Stockbroker

Steven Harris of Burr Ridge Illinois a stockbroker formerly registered with Transamerica Financial Advisors Inc. is referenced in a Financial industry Regulatory Authority (FINRA) investigation in which the regulator advised its Department of Enforcement to pursue disciplinary action against Harris for failing to cooperate with FINRA during an inquiry into accusations of his outside business […]

Read More »