Jorge Harker: $310K Complaint Against Holistic Brokerage Advisor

A recent investor complaint against Miami, Florida financial advisor Jorge Harker (CRD# 7015433) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Holistic Brokerage and an investment advisor with Holistic Asset Management.

Mr. Harker’s BrokerCheck report discloses one investor complaint. Filed in August 2025, it alleges that as a representative of Holistic Brokerage, he made unauthorized transactions involving options products in the customer’s account, “resulting in significant losses.” The pending complaint alleges damages of $310,000.

Investors should be aware that FINRA rules prohibit representatives like Mr. Harker from conducting securities transactions without authorization. FINRA Rule 3260, for example, describes certain conditions under which brokers can make discretionary trades, and forbids the use of discretion without the customer’s prior written authorization and the firm’s written acceptance of the account as discretionary. FINRA Rule 2010, meanwhile, requires brokers to “observe high standards of commercial honor and just and equitable principles of trade,” which generally means that they may not perform unauthorized transactions. Brokers who violate these rules may be held liable for damages.

According to the Financial Industry Regulatory Authority, Jorge Harker holds six years of securities industry experience. Based in Miami, Florida, he has been registered as a broker with Holistic Brokerage since 2018 and an investment advisor with Holistic Asset Management since 2023. His credentials include the passage of three securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the General Securities Representative Examination, or Series 7; and the Securities Industry Essentials Examination, or SIE. He is licensed in Arizona, California, Connecticut, Delaware, Florida, New Jersey, New York, and Texas. (Information current as of September 20, 2025.)

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.