(FINRA Case #2009019108901)
Talman Anthony Harris (CRD #3209947, Garden City, New York) – A U.S. Court of Appeals for the Second Circuit Summary Order became final. Harris was barred from association with any FINRA member firm in any capacity. The U.S Court of Appeals for the Second Circuit denied Harris’ petition for review following appeal of an SEC decision.
The sanction was based on findings that Harris fraudulently omitted material facts when soliciting purchases of securities and engaged in outside business activities without providing his member firm with prompt written notice.