Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Brion Harris: Oil & Gas Complaint Against Premiere Planning Advisor

Annapolis financial advisor Brion Harris (CRD# 3199095) has received an investor complaint alleging he made unsuitable investment recommendations that resulted in losses. Financial Industry Regulatory Authority Records show that the Premier Planning Group representative is registered as a broker and an investment advisor with Cetera Advisor Networks. 

Mr. Harris’s BrokerCheck report discloses several investor complaints against him. The most recent, filed April 2022, alleges that as a representative of Summit Brokerage Services, he recommended “unsuitable and high risk alternative investments,” including oil and gas securities, real estate securities, and a business development company. The pending complaint alleges unspecified damages.

A second investor complaint, filed in 2011, alleged that as a representative of Lincoln Financial Securities Corporation, Mr. Harris failed to fully disclose information relating to investments in a variable annuity and a real estate investment trust. The complaint reached a settlement of $342,771.47.

Mr. Harris’s BrokerCheck report also discloses a 2013 FINRA enforcement action against him. The regulator found that he submitted customer subscription documents “that contained backdated signatures” to his firm. FINRA alleged further that he did not inform his firm that the signatures, which were for investments in a real estate investment trust, were backdated. He was issued a one-month suspension and a fine of $5,000.

According to the Financial Industry Regulatory Authority, Brion Harris holds 23 years of securities industry experience. Based in Annapolis, Maryland, he is a representative of Premier Planning Group, registered as a broker and an investment advisor with Cetera Advisor Networks. His past registrations include Summit Brokerage Services, Cambridge Investment Research, Lincoln Financial Securities Corporation, Independent Advisers Group, AXA Advisors, and the Equitable Life Assurance Society of the United States. His credentials include the passage of five securities industry qualifying examinations: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He holds 26 state licenses. (Information current as of August 5, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Steven Hirata: FINRA Sanctions, Bars Ex-PFS Investments Advisor

    Former Fresno financial advisor Steven Hirata (CRD# 1188927) was recently sanctioned by the Financial Industry Regulatory Authority for allegedly refusing...

    Read More
  • Rod Thomas: GPB Auto Complaint Against Former SCF Securities Advisor

    Boca Raton financial advisory Rod Thomas (CRD# 4010563) recommended an unsuitable investment in GPB Automotive, according to a recent investor...

    Read More
  • Scott Brooks: GPB Capital Complaint Against Gold Coast Advisor

    San Clemente, California financial advisor Scott Brooks (CRD# 3235252) recently received an investor complaint alleging he engaged in negligence and...

    Read More
  • SEC Charges Against Western International Securities: GWG L Bonds

    The US Securities and Exchange Commission has filed charges against Western International Securities and five of the firm’s brokers: Nancy...

    Read More
  • Previous
  • Next