Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Massachusetts-based Commonwealth Financial Network broker Robert Harris has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Harris (CRD# 500164).
Robert Harris has spent 41 years in the securities industry and has been registered with Commonwealth Financial Network in Worcester and Chatham, Massachusetts since 1994. Previous registrations include AF Best Securities in Coral Springs, Florida (1990-1994); Dougherty, Dawkins, Strand & Yost in Minneapolis, Minnesota (1982-1990); Croake Roberts; and Channer Newman Securities Company. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1982, and Series 7 (General Securities Representative Examination), which he obtained on January 17, 1994. He is a registered broker with 21 US states and territories: California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Louisiana, Maine, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, the Virgin Islands, Washington, and Wisconsin.
According to his BrokerCheck report, Robert Harris has received one customer complaint, one pending customer complaint and one denied customer complaint.
In July 2017 a customer alleged Robert Harris, while employed at Commonwealth Financial Network, recommended the purchase of unsuitable municipal bonds and failed to properly explain the risks involved in purchasing securities on margin. The customer is seeking $180,000 in damages in the pending complaint.
In 2014 a customer alleged Robert Harris, while employed at Commonwealth Financial Network, was responsible for a trade error and invested in an over-concentration of Puerto Rico bonds. The complaint settled for $83,500.
In 2010 a customer alleged he, while employed at Commonwealth Financial Network, misrepresented material facts related to a bond purchase. The customer sought $16,000 in damages in the complaint, which was denied.
If you or someone you know has lost money investing with Robert Harris, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.