CRD of Harris Shapiro (420027)

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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About BrokerCheck

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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.

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brokercheck.finra.org

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.



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.




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/.



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



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



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.




Docket/Case Number: 162


Product Type:


Allegations: IT WAS ALLEGED THAT I PARTICIPATED IN INSIDETRADING.


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:



Docket/Case Number: P-296





SUPLEE, MOSELY, CLOSE & KERNER

Product Type:


Allegations:


Resolution: Decision



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:



Docket/Case Number: P-296


SUPLEE, MOSELY, CLOSE & KERNER

Product Type:


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.



Resolution: Decision



Sanction Details: 6 MONTH SUSPENSION - SUPLEE MOSLEY & CO.

Broker Statement STOCK MARKET CRASHED AND MANY OF MY ACCOUNTS LOSTMONEY, INCLUDING CO. ACCOUNT.

Suspension



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:


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



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:


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



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



End of Report

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Report SummaryBroker QualificationsRegistration and Employment HistoryDisclosure EventsDisclosure InformationRegulatory - FinalDisclosure #1Disclosure #2

Civil - FinalDisclosure #1

Customer Dispute - Award/JudgmentDisclosure #1

Documents

CRD of Harris Shapiro (420027)