October 27, 2014-San Antonio, Texas
Nathan Andrew Harmon entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that on February 6, 2012, Harmon engaged in an unapproved outside business activity by selling an equity-indexed annuity not approved for sale by his employer NEXT Financial Group. The cost of the annuity was $190,000. Case # 2013037822701.
Harmon was fined $10,000 and suspended from association in all capacities with any FINRA member firm for 9 months.
FINRA records indicate Harmon was registered with NEXT Financial Group from 3/2009–2/2014. Prior to that he was registered with Intersecurities, Inc.
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.
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