Last Updated: February 2024 (Leawood, KS)
Norman Harp Investigation Summary
Here’s what you need to know about Overland Park, KS, stockbroker Norman Harp:
- Name: Mr. Norman Ray Harp
- Current Employer: B.B. Graham & Company, Retirement Resources (RIA)
- DBA: Harp & Associates PC CPA
- Previous Firms: Moloney Securities, ProEquities Inc.
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Norman Harp
- Primary Location: Overland Park, KS
- CRD 2480563
- Can Norman Harp be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $101,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Norman Harp As Your Stockbroker?
In 7/2023 a customer of Moloney Securities filed a FINRA arbitration alleging aht Norman Harp was negligent and made an unsuitable recommendation causing losses of $101,000. This matter is currently pending.
Allegations of Broker Misconduct Against Norman Harp
Customers of Norman Harp have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Other investigations of B.B. Graham & Company brokers
[LEARN MORE]: See this for prior investigations of Moloney Securities brokers
If you have suffered investment losses in an account handled by Norman Harp, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
