JAMES LEROY HARRIS is currently employed as a Broker and/or Investment Adviser at GRAND FINANCIAL, INC. located at 15303 DALLAS PARKWAY SUITE 1010, ADDISON, TX, 75001.
JAMES LEROY HARRIS has worked at GRAND FINANCIAL, INC. since August 07, 1987
Disclosure History
JAMES LEROY HARRIS has 2 Disclosure Event(s).
Date: August 19, 2013 Category: Customer Dispute Allegations: MISREPRESENTATIONS AND OMISSIONS TO STATE MATERIAL FACTS Damage Amount Requested: $600,000.00 Settlement Amount: $230,000.00 Broker Comment: NEITHER MR. HARRIS NOR THE EMPLOYING FIRM, GRAND FINANCIAL CONTRIBUTED TO THE SETTLEMENT AND WERE RELEASED FROM ALL LIABILITY ASSOCIATED WITH THE CLAIMS BY THE CUSTOMERS.
Date: July 15, 1997 Category: Customer Dispute Allegations: (A) FAILURE TO SUPERVISE ACCOUNT OF CUSTOMER(B) BREACH OF FIDUCIARY DUTY (C) VIOLATION OF KNOW YOURCUSTOMER RULE/SUITABILITY (D) NEGLIGENCE IN HANDLING OF ACCOUNT(E) DAMAGES OF $38,031.80 (ACTUAL) + INTEREST Damage Amount Requested: $38,031.80 Settlement Amount: $23,000.00 Broker Comment: THE PARTIES HAVE CONCLUDED A SETTLEMENT OF$23,000 RESULTING IN A RELEASE OF ANY LIABILITY TO JAMES L.HARRIS OR GRAND FINANCIAL, INC. AND THE ARBITRATION HAS BEENDISMISSED.NOT PROVIDED
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