Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Harris (Harris), previously associated with Union Capital Company, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Harris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,000.00 on June 27, 2023.
Poor performance/advise