MARTY HARARI is currently employed as a Broker and/or Investment Adviser at SUNBELT SECURITIES, INC. located at Executive Center Two, 8360 LBJ Freeway Suite 100, Dallas, TX, 75243.
MARTY HARARI has worked at SUNBELT SECURITIES, INC. since August 04, 2017
Disclosure History
MARTY HARARI has 12 Disclosure Event(s).
Date: October 21, 1993 Category: Customer Dispute Allegations: THE ABOVE REFERENCED CLIENT HAS SUBMITTED A CLAIM FORM TO THE CLAIMS RESOLUTION PROCESS RELATING TO THE PURCHASE OF VARIOUS LIMITED PARTNERSHIPS DURING THE PERIOD 10/84 TO 3/86. THE ABOVE MENTIONED REGISTERED REPRESENTATIVE WAS THE BROKER OF RECORD AT THE TIME OF THE PURCHASES. NO DAMAGES WERE ALLEGED BUT THE APPROXIMATE AMOUNT OF ACTUAL LOSS (OUT-OF-POCKET) IS: $22,065 Damage Amount Requested: $22,065.00 Settlement Amount: $26,693.00 Broker Comment: A SETTLEMENT FOR THE ABOVE CLIENT HAS BEEN REACHED IN THE CLAIMS RESOLUTION PROCESS. THE APPROXIMATE DOLLAR AMOUNT OF THE SETTLEMENT IS AS FOLLOWS: $26,693 THIS MATTER RESULTED FROM THE UNPRECEDENTED, UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO 340,000 INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROM JANUARY 1, 1980 TO JANUARY 1, 1991. THE ABOVE REFERENCED CLIENT SUBMITTED A CLIAM FORM IN RESPONSE TO THIS MAILING. THE CLAIM FORM WAS EVALUATED BY PSI IN ACCORDANCE WITH THE STANDARDS ESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI, THE SEC, NASD AND THE STATE SECURITIES ADMINISTRATORS. THE REPORTED SETTLEMENT AROSE OUT OF THE UNIQUE PROCESS.
Date: October 21, 1993 Category: Customer Dispute Allegations: THE ABOVE REFERENCED CLIENT HAS SUBMITTED A CLAIM FORM TO THE CLAIMS RESOLUTION PROCESS RELATING TO THE PURCHASES OF VARIOUS LIMITED PARTNERSHIPS DURING THE PERIOD 9/88 TO 1/89. THE ABOVE MENTIONED REGISTERED REPRESENTATIVE WAS THE BROKER OF RECORD AT THE TIME OF THE PURCHASES. NO DAMAGES WERE ALLEGED BUT THE APPROXIMATE AMOUNT OF ACTUAL LOSS (OUT-OF-POCKET) IS: $18,014 Damage Amount Requested: $18,014.00 Settlement Amount: $27,533.00 Broker Comment: A SETTLEMENT FOR THE ABOVE CLIENT HAS BEEN REACHED IN THE CLAIMS RESOLUTION PROCESS. THE APPROXIMATE DOLLAR AMOUNT OF THE SETTLEMENT IS AS FOLLOWS: $27,533 THIS MATTER RESULTED FROM THE UNPRECEDENTED, UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO OVER 340,000 INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROM JANUARY 1, 1980 TO JANUARY 1, 1991. THE ABOVE REFERENCED CLIENT SUBMITTED A CLAIM FORM IN RESPONSE TO THIS MAILING. THE CLAIMS FORM WAS EVALUATED BY PSI IN ACCORDANCE WITH THE STANDARDS ESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI, THE SEC, NASD AND THE STATE SECURITIES ADMINISTRATORS. THE REPORTED SETTLEMENT AROSE OUT OF THIS UNIQUE PROCESS.
Date: October 21, 1993 Category: Customer Dispute Allegations: THE ABOVE CLIENT(S) SUBMITTED CLAIM FORM(S) TO THE CLAIMS RESOLUTION PROCESS RELATING TO LIMITED PARTNERSHIP PURCHASE(S) DURING THE PERIOD 12/80-3/86. THE ABOVE MENTIONED REGISTERED REPRESENTATIVE WAS THE BROKER OF RECORD AT THE TIME OF THE PURCHASE(S). NO DAMAGES WERE ALLEGED BUT THE AMOUNT(S) OF ACTUAL LOSS (OUT-OF-POCKET0 IS/ARE APPROXIMATELY: $58,350 Damage Amount Requested: $58,350.00 Settlement Amount: $22,310.00 Broker Comment: SETTLEMENT(S) WITH THE ABOVE CLIENT(S) HAS/HAVE BEEN REACHED IN THE CLAIMS RESOLUTION PROCESS. THE DOLLAR AMOUNT(S) OF THE SETTLEMENT(S) IS/ARE APPROXIMATELY: $22,310 THIS MATTER RESULTED FROM THE UNPRECEDENTED, UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO OVER 340,000 INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROM JANUARY 1, 1990 TO JANUARY 1, 1991. THE ABOVE REFERENCED CLIENTS SUBMITTED CLAIM FORM(S) IN RESPONSE TO THIS MAILING. THE CLAIM WAS/WERE EVALUATED BY PSI IN ACCORDANCE WITH THE STANDARDS ESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI, THE SEC, NASD AND THE STATE SECURITIES ADMINISTRATORS. THE REPORTED SETTLEMENT(S) AROSE OUT OF THIS UNIQUE PROCESS.
Date: October 09, 1992 Category: Customer Dispute Allegations: ALLEGED MISREPRESENTATION AND UNSUITABILITYRELATED TO LIMITED PARTNERSHIP PURCHASES. CLAIMANT SOUGHT$1.5MM Damage Amount Requested: $1,500,000.00 Damages Granted: $637,000.00 Broker Comment: AWARD AGAINST PRUDENTIAL FOR [CUSTOMER] OF$637,000 REPRESENTATING LOSSES, ATTORNEY FEES AND INTEREST.DISMISSED CLAIMS OF TO HARARI. DISMISSED [CUSTOMER'S]CLAIMS.THE AWARD WAS AGAINST PRUDENTIAL AND NOT AGAINSTHARARI. HARARI'S ALLEGATIONS OF MISREPRESENTATION ANDUNSUITABILITY WERE DISMISSED. THE AWARD APPEARS TO BE BASED ONTHE PRODUCT FAILURE.
Date: August 06, 1992 Category: Customer Dispute Allegations: CLIENT ALLEGES THE UNSUITABILITY OF INVESTINGINDIVIDUALS IN THEIR 70'S IN LIMITED PARTNERSHIPS (NOTSPECIFIED). CLIENTS CLAIM LOSSES IN EXCESS OF $364,000(INVESTMENTS MADE BETWEEN 1983-1987). Settlement Amount: $500,000.00 Broker Comment: Not ProvidedNot Provided
Date: March 30, 1992 Category: Customer Dispute Allegations: CLIENTS ALLEGED UNSUITABLE LIMITED PARTNERSHIP RECOMMENDATIONS WITH ALLEGED DAMAGES IN EXCESS OF 150,000.00 Damage Amount Requested: $150,000.00 Settlement Amount: $82,900.00
Date: January 27, 1992 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT BROKER MISMANAGEDACCOUNTS WITH UNSUITABLE INVESTMENTS Settlement Amount: $25,000.00 Broker Comment: CLIENTS AGREED TO ACCEPT $18,000 TO RESOLVEDISPUTENot Provided
Date: July 25, 1991 Category: Customer Dispute Allegations: CLIENT ALLEGES DAMAGES OF $21,000 FOR ALLEGEDMISREPRESENTATION OF REAL ESTATE L.P'S Damage Amount Requested: $21,000.00 Settlement Amount: $10,000.00 Broker Comment: CLIENT WAS PAID $10,000.Not Provided
Date: March 08, 1991 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE LIMITED PARTNERSHIPPURCHASES WITH ALLEGED DAMAGES IN EXCESS OF $10,000.00. Settlement Amount: $35,000.00 Broker Comment: Not ProvidedNot Provided
Date: July 25, 1990 Category: Customer Dispute Allegations: CLIENT ALLEGED MISREPRSENTATION OF LIMITEDPARTNERSHIPS IN THE AMOUNT OF $60,868.00 Damage Amount Requested: $60,868.00 Settlement Amount: $25,000.00 Broker Comment: CLIENT WAS PAID $25,000.Not Provided
Date: March 20, 1990 Category: Customer Dispute Allegations: [CUSTOMER], A SIXTY-FIVE YEAR OLD WIDOW,[ADDRESS], [ADDRESS], ALLEGES UNSUITABLERECOMMENDATIONS OF VMS, PB ENERGY INC. WATSON & TAYLOR,EQUITEC, CARLYLE, PRUTECH, ALMAHURST, POLARIS, SUMMIT, UNDUECONCENTRATION, NEGLIGENCE, AND BREACH OF CONTRACT CAUSINGDAMAGES OF $300,000 AND $1 MILLON PUNITIVE. THE CLAIM WASSETTLED FOR $140,000. Damage Amount Requested: $300,000.00 Settlement Amount: $140,000.00 Broker Comment: CLAIMANT PAID $140,000 IN SETTLEMENTTHE BROKER IS NOT CONTRUBUTING TO THE SETTLEMENT.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for MARTY HARARI, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.