RedFlag, Allegation and/or Complaint against TREVOR WAYNE HARRELSON
Disclosure #1 for TREVOR HARRELSON
-
- Event Date: 8/3/2012
- Disclosure Type: Regulatory
- Resolution: Final |FDA Docket:CSB-2012-822246
- AAO Docket: 2012-822246
- Initiated By: NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES
- Allegations: ALLEGES REP PROVIDED MATERIALLY UNTRUE AND INCORRECT INFORMATION ON THE ORIGINAL APPLICATION SUBMITTED FOR LIFE INSURANCE LICENSE RENEWAL ON FEB 22, 2011; AND FAILED TO DISCLOSE THAT ON APRIL 6, 2001 REP PLED NOLO CONTENDRE TO A BREACH OF PEACE; A SECOND DEGREE MISDEMEANOR.
- Resolution: Consent |Sanctions: Civil and Administrative Penalty(ies)/Fine(s) |Amount: $750.00
Should I file a FINRA complaint against brokers like TREVOR WAYNE HARRELSON?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About TREVOR WAYNE HARRELSON
What is TREVOR HARRELSON's Central Registration Depository (CRD) Number?
Which firm is TREVOR WAYNE HARRELSON associated with?
Where is TREVOR HARRELSON located?
Where can I find more details about TREVOR HARRELSON's Investment Firm?
Are there any disclosures, allegations or complaints filed against TREVOR WAYNE HARRELSON?
Where can I download a detailed FINRA report for TREVOR HARRELSON?
Is it safe to do business with TREVOR WAYNE HARRELSON?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 8:38 pm
