Norman Harp of Retirement Resources: $101k Customer Dispute

September 22, 2023

Investors that Suffered Losses with Norman Harp May Have Recovery Options

National investment loss lawyers KlaymanToskes is investigating Norman Harp (CRD# 2480563) of Retirement Resources, Inc. following the filing of a customer complaint alleging $101,000 in investor damages due to unsuitable investment recommendations and negligence.

Investors that suffered losses with Norman Harp may be entitled to a financial recovery. Contact attorney Lawrence L. Klayman for a free consultation at (888) 997-9956 or lawrence@klaymantoskes.com to discuss your recovery options. We do not collect attorney’s fees unless we obtain a financial recovery for you.

Norman Harp of Retirement Resources: Customer Dispute Filed

According to FINRA BrokerCheck, Norman Ray Harp is currently registered as a broker with B.B. Graham & Company, Inc., and as an investment advisor with Retirement Resources, Inc. in Leawood, KS. Harp has been hit with a pending customer complaint. The customer alleges $101,000 in damages along with unsuitable investment recommendations and negligence. 

Brokerage firms and their brokers/financial advisors have a fiduciary responsibility to provide their customers with suitable investment advice that is in the customers’ best interest which meets their investment needs/goals. Investors that have suffered losses as a result of their advisor’s violations of securities rules may hold their brokerage firm and financial professional liable through a FINRA arbitration claim.

What is My Financial Advisor Responsible For?

Brokers and financial advisors must consider an investment’s risk, ensure that they do not misrepresent material facts, and/or overconcentrate the customer’s portfolio in unsuitable investments. Further, financial professionals and their firms cannot disregard a customer’s risk-tolerance or make unsuitable investment recommendations. 

The violations discussed above each provide a basis for liability in a FINRA arbitration claim. FINRA arbitration is a more cost-effective process for investors, often occurring with increased speed and efficiency over a court proceeding. To learn more about additional securities violations, see our account activity violations page.

Firms and their registered representatives may be liable for a breach of fiduciary duty and/or failure to supervise in the event of non-compliance with the securities industry standards of care for the handling of customer accounts. Investors can learn more about securities violations by visiting our account activity violations and account related violations pages.

Contact KlaymanToskes today at (888) 997-9956 or lawrence@klaymantoskes.com to learn more about the FINRA arbitration process and to discuss recovery options. Consultations are free and we offer legal services on a contingency basis, meaning we do not collect attorney’s fees unless we are able to obtain a recovery for you.

About KlaymanToskes

KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered over $250 million in FINRA arbitrations and over $350 million in other securities litigation matters. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico.


KlaymanToskes, P.A.
Lawrence L. Klayman, Esq.