Jorge Angel Harker (CRD #7015433) – Miami, FL | Holistic Brokerage, LLC (CRD #46001): Investor Notice and Haselkorn & Thibaut Investigation
Haselkorn & Thibaut (investmentfraudlawyers.com), a national law firm with over 50 years of experience, a 98% success rate, and millions recovered for investors nationwide, has opened an independent investigation into Jorge Angel Harker, a registered financial advisor operating from Miami, FL with Holistic Brokerage, LLC. If you have worked with Mr. Harker as your financial advisor, it is important to stay informed about recent customer complaints and understand the potential options for recovery. Haselkorn & Thibaut offers free consultations to discuss your case, and there is absolutely no fee unless there is a recovery. Call 1-888-994-8066 today to speak with an experienced attorney.
Who Is Jorge Angel Harker?
Table of Contents
| Advisor Name | Jorge Angel Harker |
|---|---|
| CRD Number | 7015433 (FINRA BrokerCheck) |
| Current Firm | Holistic Brokerage, LLC (CRD #46001) |
| Office Location | 800 Brickell Ave, Suite 502, Miami, FL 33131 |
| Licenses | SIE, Series 7, Series 66 (licensed in AZ, CA, CT, DE, FL, NJ, NY, TX) |
| Prior Employers | Adcap Securities, LLC; Adcap Colombia |
| Other Names | Jorge Angel, Jorge Alberto Angel Harker |
Recent Customer Complaints and Disputes
Investors should be vigilant regarding recent developments involving Jorge Angel Harker. According to public notices and regulatory documentation, the following customer complaints and red flags have been reported:
- Current Pending Customer Dispute (August 2025): A customer filed a written complaint alleging unauthorized options transactions in their Holistic Brokerage, LLC account, resulting in claimed damages of $310,000. The allegations focus on trading that was undertaken without the customer’s explicit permission, which created significant losses for the investor.
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Nature of Alleged Misconduct:
- Unauthorized trading – executing transactions without prior customer approval or proper firm authorization.
- Potential violations of FINRA Rule 3260 (Discretionary Accounts) and Rule 2010 (Standards of Commercial Honor and Principles of Trade).
- Ongoing FINRA Arbitration Eligibility: This advisor can be named in a FINRA arbitration for compensation claims by impacted investors.
At this time, the above pending complaint represents the main publicly reported dispute involving Mr. Harker. Investors should be aware that such disputes may expand or lead to regulatory inquiries or additional customer complaints.
Understanding Unauthorized Trading Allegations
Unauthorized trading occurs when a broker places trades in a client’s account without explicit permission or prior authorization. This practice stands in direct violation of industry rules and can lead to substantial financial harm for investors. Under FINRA Rule 3260, a broker must have written authorization from the client and approval from the brokerage firm to exercise discretionary authority in an account. Violations of these conditions may result in investor losses — and advisors found responsible may be subject to discipline or ordered to compensate affected customers.
Potential Red Flags for Investors Working With Jorge Angel Harker
- Pending Significant Complaint: A single customer complaint for a large sum, like the reported $310,000 claim, should prompt investors to review their accounts for similar conduct.
- Alleged Unauthorized Options Trading: Options trading carries elevated risk, and conducting such transactions without approval increases potential for financial loss and regulatory action.
- Prior Firm Transitions: Previous stints at Adcap Securities, LLC and Adcap Colombia may be relevant for clients who did business with Mr. Harker previously. Patterns of complaints at multiple firms can signal repeated issues.
What Actions Should Concerned Investors Take?
If you have a brokerage account managed by Jorge Angel Harker or Holistic Brokerage, LLC—and especially if your portfolio involved options trading or other complex strategies—it is vital to conduct a careful account review. Look for any suspicious transactions, unfamiliar trades, or unexplained losses. Even if you have not filed a complaint, you may still have grounds to pursue recovery through FINRA arbitration or other legal avenues.
Steps for Investors to Protect and Recover Their Investments
- Request a Written Account History: Obtain and review your full account statements, trade confirmations, and any communications with the advisor or firm.
- Consult With a Securities Attorney: Haselkorn & Thibaut provides a confidential, no-cost consultation for investors nationwide. With a dedicated team featuring over 50 years of combined securities law experience, they will evaluate your situation and explain your options.
- Pursue FINRA Arbitration If Appropriate: If unauthorized trading or other forms of misconduct caused account losses, you may be eligible to file a claim through FINRA arbitration. Most cases are handled on a contingency basis — you pay no legal fees unless there is a recovery.
Haselkorn & Thibaut’s track record includes a 98% success rate and the recovery of millions of dollars on behalf of investors across the country. Your consultation is completely confidential and comes at no cost or obligation.
Contact Haselkorn & Thibaut Today
If you lost money with Jorge Angel Harker of Holistic Brokerage, LLC, or if you’re concerned about how your account has been managed, the team at Haselkorn & Thibaut is ready to help. Call 1-888-994-8066 for your free case evaluation. There are no legal fees unless you recover compensation.
Your financial security matters. Protect your rights and explore the opportunity to recover your investment losses with the guidance of a trusted team of investment fraud lawyers.
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