Johns Island/Sumter , South Carolina
JUNE 2017 UPDATE-Former stockbroker Harold L Deprill, Jr. discloses that in FINRA arbitration #17-0083 a customer of Andrew Garrett alleges damages in an unstated amount for fraud in violation of section 10(b) and rule 10b-5 of the Securities Exchange Act of 1934 for overcharges on securities transactions.
ORIGINAL POST-May 2014
Harold Lavern DePrill Jr. (CRD #1302318, Registered Principal, Johns Island, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, DePrill consented to the described sanction and to the entry of findings that he failed to appear for FINRA-requested testimony. FINRA requested his appearance in order to obtain information concerning certain transactions executed between Andrew Garrett and one its customers. DePrill’s counsel acknowledged receipt of the request and informed FINRA that DePrill would not appear for testimony. ( FINRA Case #2011029679502)
DePrill was registered with Andrew Garrett, Inc. from 11/2002-10/2012. DePrill was employed by National Bank of South Carolina from 1970-2012 where he held the position of Senior Vice President.
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