Category Archives: Harbor Financial Services

Curt Howard-Former Edward Jones Broker-Subject of $1M Customer Suit-Monahans, TX/ Sapulpa, OK

September 2018-Sapulpa, OK / Mobile, AL /Monahans, TX

According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Harbor Financial Services, disclose a  prior customer dispute, a currently pending customer dispute and a termination from employment.

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.

In the currently pending case filed in Dallas County, TX, a customer of Edward Jones is seeking damages of $1 million and alleges that Howard breached his fiduciary duty, committed fraud , breached the duty of good faith and fair dealing and other claims.

Curtis Howard was employed by Edward Jones from 7/1985 until 9/2017 when he was discharged by Edward Jones who makes the following allegation on Howard’s FINRA record: “Mr. Howard’s employment was terminated by the Firm’s HR Department. Concerns had been raised relating to professionalism and judgment.”

Curtis Howard discloses a business affiliation with Phoenix Wealth Partners, LLC.

If you have questions about an account in an account handled by Curtis Howard , contact us for a no charge consultation to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Deborah Romary & Harbor Financial Hit With Arbitration Award for Selling Annuity to Conservative Investor

January 21, 2015- Indianapolis, Indiana

A FINRA arbitration panel in Indianapolis, Indiana, ordered Harbor Financial Services and broker Deborah Ellen Romary to pay a customer over $60,000 in compensatory damages, plus attorney fees and costs of about $64,000 . The customer brought claims for breach of fiduciary duty and the Indiana Uniform Securities Act in connection with the broker’s recommendation that the customer invest in a flexible premium deferred annuity. The customer alleged that the advice to cash out his 401K and invest in an annuity was contrary to his conservative investment objective. Jeffrey Webb v Harbor Financial Services, et al, FINRA Case# 13-3305.

If you have questions about losses in your brokerage account, call to speak with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870