CRD of Harris Shapiro (420027)
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Transcript of CRD of Harris Shapiro (420027)
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BrokerCheck ReportHARRIS ALLEN SHAPIRO
Report #98875-62343, data current as of Saturday, April 18, 2015.
Section TitleReport Summary
Broker Qualifications
Registration and Employment History
Disclosure Events
CRD# 420027
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2 - 3
4
5
Page(s)
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About BrokerCheck
BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.
What is included in a BrokerCheck report?BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firms profile, history, and operations, as well as many of thesame disclosure events mentioned above.Please note that the information contained in a BrokerCheck report may include pending actions or allegationsthat may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favorof the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding ofwrongdoing.
Where did this information come from?The information contained in BrokerCheck comes from FINRAs Central Registration Depository, or CRD and isa combination of:
o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers andbrokerage firms to submit as part of the registration and licensing process, and
o information that regulators report regarding disciplinary actions or allegations against firms or brokers. How current is this information?
Generally, active brokerage firms and brokers are required to update their professional and disciplinaryinformation in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.
What if I want to check the background of an investment adviser firm or investment adviserrepresentative?To check the background of an investment adviser firm or representative, you can search for the firm or individualin BrokerCheck. If your search is successful, click on the link provided to view the available licensing andregistration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttp://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414.
Are there other resources I can use to check the background of investment professionals?FINRA recommends that you learn as much as possible about an investment professional before deciding to workwith them. Your state securities regulator can help you research brokers and investment adviser representativesdoing business in your state.
Thank you for using FINRA BrokerCheck.
For more information aboutFINRA, visit www.finra.org.
Using this site/information meansthat you accept the FINRABrokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound at
For additional information aboutthe contents of this report, pleaserefer to the User Guidance orwww.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.
brokercheck.finra.org
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HARRIS A. SHAPIROCRD# 420027
This broker is not currently registered.
Report Summary for this Broker
This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.
Disclosure Events
This broker has been involved in one or moredisclosure events involving certain final criminalmatters, regulatory actions, civil judicial proceedings,or arbitrations or civil litigations.
Are there events disclosed about this broker? Yes
The following types of disclosures have beenreported:Type CountRegulatory Event 2Civil Event 1Customer Dispute 1
Broker QualificationsThis broker is not currently registered.
This broker has passed:0 Principal/Supervisory Exams1 General Industry/Product Exam1 State Securities Law Exam
Registration HistoryThis broker was previously registered with thefollowing securities firm(s):
GILFORD SECURITIES INCORPORATEDCRD# 8076NEW YORK, NY02/1999 - 04/2000
WHALE SECURITIES CO., L.P.CRD# 13516NEW YORK, NY12/1993 - 12/1998
www.finra.org/brokercheck User Guidance
12015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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www.finra.org/brokercheck User Guidance
Broker Qualifications
RegistrationsThis section provides the self-regulatory organizations (SROs), states and U.S. territories the broker is currentlyregistered and licensed with, the category of each registration, and the date on which the registration became effective.This section also provides, for each firm with which the broker is currently employed, the address of each branch wherethe broker works.This broker is not currently registered.
22015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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www.finra.org/brokercheck User Guidance
Broker Qualifications
Industry Exams this Broker has Passed
This individual has passed 0 principal/supervisory exams, 1 general industry/product exam, and 1 statesecurities law exam.
This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.
Exam Category Date
Principal/Supervisory Exams
No information reported.
Exam Category Date
General Industry/Product Exams
General Securities Representative Examination 12/10/1993Series 7
Exam Category Date
State Securities Law Exams
Uniform Securities Agent State Law Examination 12/23/1993Series 63
Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.
32015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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www.finra.org/brokercheck User Guidance
Registration and Employment History
Registration History
Registration Dates Firm Name CRD# Branch Location
The broker previously was registered with the following securities firms:
02/1999 - 04/2000 GILFORD SECURITIES INCORPORATED 8076 NEW YORK, NY
12/1993 - 12/1998 WHALE SECURITIES CO., L.P. 13516 NEW YORK, NY
Employment History
Employment Dates Employer Name Employer Location
This section provides up to 10 years of an individual broker's employment history as reported by the individual broker onthe most recently filed Form U4.
Please note that the broker is required to provide this information only while registered with FINRA or a nationalsecurities exchange and the information is not updated via Form U4 after the broker ceases to be registered.Therefore, an employment end date of "Present" may not reflect the broker's current employment status.
12/1998 - Present GILFORD SECURITIES INCORPORATED NEW YORK, NY
42015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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www.finra.org/brokercheck User Guidance
Disclosure Events
What you should know about reported disclosure events:
1. Disclosure events in BrokerCheck reports come from different sources: As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, their
employing firms, and regulators. When more than one source reports information for the same disclosureevent, all versions of the event will appear in the BrokerCheck report. The different versions are separated bya solid line with the reporting source labeled.
For your convenience, below is a matrix of the number and status of regulatory disclosure events involving thisbroker. Further information regarding these events can be found in the subsequent pages of this report. Youalso may wish to contact the broker to obtain further information regarding these events.
Final On AppealRegulatory Event 2 0
Civil Event 1 0
Customer Dispute 1 N/A
52015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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Disclosure Event DetailsThis report provides the information exactly as it was reported to CRD and therefore some of the specific data fieldscontained in the report may be blank if the information was not provided to CRD.
Regulatory - FinalThis type of disclosure event involves a final, formal proceeding initiated by a regulatory authority (e.g., a state securitiesagency, self-regulatory organization, federal regulator such as the Securities and Exchange Commission, foreign financialregulatory body) for a violation of investment-related rules or regulations.Disclosure 1 of 2Reporting Source: RegulatorRegulatory Action InitiatedBy:Sanction(s) Sought:
Other Sanction(s) Sought:
Date Initiated: 09/18/1961
Docket/Case Number: 162
Employing firm when activityoccurred which led to theregulatory action:
Product Type:
Other Product Type(s):
Allegations:
Current Status: Final
Resolution: Dismissed
Resolution Date: 06/06/1962Regulator Statement 1-26-72 ND 72-15 LR-5299: FILING OF A COMPLAINT SEEKING TO
ENJOIN.
iReporting Source: BrokerRegulatory Action InitiatedBy:
SECURITIES & EXCHANGE COMMISSION
Sanction(s) Sought:
Other Sanction(s) Sought:62015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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Other Sanction(s) Sought:
Date Initiated: 09/18/1961
Docket/Case Number: 162
Employing firm when activityoccurred which led to theregulatory action:
Product Type:
Other Product Type(s):
Allegations: IT WAS ALLEGED THAT I PARTICIPATED IN INSIDETRADING.
Current Status: Final
Resolution: Dismissed
Resolution Date: 06/06/1962Sanctions Ordered:
Other Sanctions Ordered:
Sanction Details: $15,000 FINE AND A PERMANENT INJUNCTION NOT TOVIOLATE RULE 10B-5.
Broker Statement ************************************************** **** 2/24/99" RECEIVED NOTIFICATION (8198 06299) FROM MEMBERREGUALTION THAT IT WILL NOT ASK THE NAC TO REVIEW THISAPPLICATION IN A MEMBERSHIP CONTINUANCE PROCEEDING.***************************************************************
Disclosure 2 of 2i
Reporting Source: RegulatorRegulatory Action InitiatedBy:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Sanction(s) Sought:
Other Sanction(s) Sought:
Date Initiated: 10/26/1966
Docket/Case Number: P-296
Employing firm when activityoccurred which led to theregulatory action:
72015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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Employing firm when activityoccurred which led to theregulatory action:
SUPLEE, MOSELY, CLOSE & KERNER
Product Type:
Other Product Type(s):
Allegations:
Current Status: Final
Resolution: Decision
Resolution Date: 02/19/1968Sanctions Ordered:
Other Sanctions Ordered:
Sanction Details:
Regulator Statement 10-26-66 P-296 FILED SUPLEE, MOSLEY, CLOSE & KERNER: 04-28-67REVOKED & COSTS $126 TO BE FINAL 5-28-67 TO B/G ON 5-3-67DECISION STAYED. ON 1-12-68 B/G AFFIRMED FINDINGS BUT MODIFIEDPENALTY TO A ONE-YEAR SUSPENSION. 2-19-68---2-18-69
Suspension
iReporting Source: BrokerRegulatory Action InitiatedBy:
NAT'L ASSOCIATION OF SECURITY DEALERS
Sanction(s) Sought:
Other Sanction(s) Sought:
Date Initiated: 10/26/1966
Docket/Case Number: P-296
Employing firm when activityoccurred which led to theregulatory action:
SUPLEE, MOSELY, CLOSE & KERNER
Product Type:
Other Product Type(s):
Allegations: CONDUCT UNBECOMING R.R.
Current Status:82015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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Current Status: Final
Resolution: Decision
Resolution Date: 02/19/1968Sanctions Ordered:
Other Sanctions Ordered:
Sanction Details: 6 MONTH SUSPENSION - SUPLEE MOSLEY & CO.
Broker Statement STOCK MARKET CRASHED AND MANY OF MY ACCOUNTS LOSTMONEY, INCLUDING CO. ACCOUNT.
Suspension
92015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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Civil - FinalThis type of disclosure event involves an injunction issued by a court in connection with investment-related activity or afinding by a court of a violation of any investment-related statute or regulation.Disclosure 1 of 1Reporting Source: RegulatorInitiated By: SECURITIES AND EXCHANGE COMMISSION
Relief Sought:
Other Relief Sought:
Date Court Action Filed: 01/01/1970
Product Type:
Other Product Types:
Employing firm when activityoccurred which led to theaction:
Allegations:
Current Status: Final
Resolution: Judgment Rendered
Resolution Date: 03/01/1971
Sanctions Ordered or ReliefGranted:
Other Sanctions:
Sanction Details:Regulator Statement 1-26-72 ND 72-15 LR-5299: FILING OF A COMPLAINT SEEKING TO
ENJOIN.
Cease and Desist/InjunctionMonetary/Fine $15,000.00
iReporting Source: BrokerInitiated By: SECURITIES & EXCHANGE COMMISSION
Relief Sought:
Other Relief Sought:
Date Court Action Filed: 01/01/1970
102015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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Product Type:
Other Product Types:
Court Details: N/A
Employing firm when activityoccurred which led to theaction:
IT WAS ALLEGED THAT I PARTICIPATED IN INSIDETRADING.
Allegations:
Current Status: Final
Resolution: Judgment Rendered
Resolution Date: 03/01/1971
Sanctions Ordered or ReliefGranted:
Other Sanctions:
Sanction Details: $15,000 FINE AND A PERMANENT INJUNCTION NOT TOVIOLATE RULE 10B-5.
Broker Statement ************************************************** **** 2/24/99" RECEIVED NOTIFICATION (8198 06299) FROM MEMBERREGUALTION THAT IT WILL NOT ASK THE NAC TO REVIEW THISAPPLICATION IN A MEMBERSHIP CONTINUANCE PROCEEDING.***************************************************************
Cease and Desist/InjunctionMonetary/Fine $15,000.00
112015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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Customer Dispute - Award/JudgmentThis type of disclosure event involves a final, consumer-initiated, investment-related arbitration or civil suit containingallegations of sales practice violations against the named broker that resulted in an arbitration award or civil judgment forthe customer.Disclosure 1 of 1Reporting Source: RegulatorEmploying firm whenactivities occurred which ledto the complaint:
Allegations: BREACH OF FIDUCIARY DURY, BREACH OF CONTRACT
Product Type: Other
Other Product Type(s): STOCKS
Alleged Damages: $800,000.00
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
NASD - CASE #01-00208
Date Notice/Process Served: 01/16/2001
Arbitration Pending? No
Disposition: Award
Disposition Date: 03/13/2002
Disposition Detail: RESPONDENT IS LIABLE AND SHALL PAY TO CLAIMANT THE SUM OF$391,200.00 AS COMPENSATORY DAMAGES.
Arbitration Information
122015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
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End of Report
This page is intentionally left blank.
132015 FINRA. All rights reserved. Report# 98875-62343 about HARRIS A. SHAPIRO. Data current as of Saturday, April 18, 2015.
Report SummaryBroker QualificationsRegistration and Employment HistoryDisclosure EventsDisclosure InformationRegulatory - FinalDisclosure #1Disclosure #2
Civil - FinalDisclosure #1
Customer Dispute - Award/JudgmentDisclosure #1