Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Harrison (Harrison), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harrison recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $125,000.00 on February 10, 2025.
Statement of claim alleges Breach of Fiduciary Duty, Violation of FINRA Rules, Breach of Contract, and Negligence related to investment made in 2019.
