Investigation of Former Wisconsin Broker Timothy Norris

Former Broker Timothy Norris Has Industry Bar Vacated, but Suspension Remains in Effect

The Sonn Law Group is actively investigating claims involving former BMO Harris broker and investment advisor Timothy Norris. If you sustained losses working with Mr. Norris, we are interested in hearing the details of your case. Contact us today at (866) 827–3202 for a free initial consultation.

Timothy Norris (CRD# 47662500) is a previously registered broker and investment advisor. From 2008 to 2018, he was a registered representative of BMO Harris Financial Advisors based in Brookfield, Wisconsin.

According to his BrokerCheck profile, Mr. Norris was discharged from his position with BMO Harris Financial in August 2018 after allegations that he took trade instructions from a previously interested party on a deceased client account.

In October 2018, FINRA issued Notice of Suspension, dated October 10, 2018, suspending Mr. Norris from acting with a registered firm in any capacity because he failed to respond to a FINRA request for information. Mr. Norris had three months to file a written request to terminate his suspension under FINRA Rule 9552.

Mr. Norris failed to file a request for termination of suspension and was permanently barred from the industry effective January 14, 2019. This bar was vacated on March 4, 2019, though Mr. Norris remains suspended because he failed to fully cooperate.

Prior to working for BMO Harris Financial, Mr. Norris was employed at three other firms: IDS Life Insurance Company (2004–2005), Ameriprise Financial Services (2004–2005), and HarrisDirect (2005).

Jeffrey R. Sonn is an experienced FINRA arbitration lawyer. If you or your loved one sustained significant investment losses working with Timothy Norris or any other BMO Harris representative, he can help. To schedule a free, no obligation review of your case, contact the Sonn Law Group today.