Robert Henderson - FINRA · 2021. 1. 12. · Robert Henderson CRD# 1160413 This broker is not...

BrokerCheck Report

Robert Henderson Jr

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 1160413

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2 - 4

6 - 7

8

Page(s)

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Robert Henderson Jr

CRD# 1160413

Currently employed by and registered with thefollowing Firm(s):

SAN BLAS SECURITIES LLC5793a NW 151 st StreetMiami Lakes, FL 33014CRD# 290605Registered with this firm since: 02/24/2021

B

SB ADVISORY, LLC5793A NW 151 St.Miami Lakes, FL 33014CRD# 154680Registered with this firm since: 02/25/2021

IA

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

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 1

Criminal 1

Customer Dispute 8

Judgment/Lien 4


This broker is registered with:

1 Self-Regulatory Organization

1 U.S. state or territory

This broker has passed:

0 Principal/Supervisory Exams

3 General Industry/Product Exams

1 State Securities Law Exam

Registration History

This broker was previously registered with thefollowing securities firm(s):

ESSEX SECURITIES LLCCRD# 46605Miami Lakes, FL04/2020 - 06/2020

B

IFS SECURITIESCRD# 40375MIAMI LAKES, FL12/2010 - 11/2019

B

FIRST AMERICAN CAPITAL AND TRADINGCORPORATIONCRD# 118812MIAMI LAKES, FL09/2008 - 12/2010

B

www.finra.org/brokercheck User Guidance

1�2021 FINRA. All rights reserved. Report about Robert Henderson Jr.


http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.

This individual is currently registered with 1 SRO and is licensed in 1 U.S. state or territory through his or her employer.

Employment 1 of 2Firm Name:

Main Office Address:

Firm CRD#:

SAN BLAS SECURITIES LLC

290605

3424 PEACHTREE RD. NESUITE 2200ATLANTA, GA 30326-1184

SRO Category Status Date

B FINRA General Securities Representative APPROVED 02/24/2021

B FINRA Invest. Co and Variable Contracts APPROVED 02/24/2021

BU.S. State/ Territory Category Status Date

B California Agent APPROVED 02/25/2021

Branch Office Locations

SAN BLAS SECURITIES LLC5793a NW 151 st StreetMiami Lakes, FL 33014

Employment 2 of 2Firm Name:

Main Office Address:

Firm CRD#:

SB ADVISORY, LLC

154680

3424 PEACHTREE ROAD NESUITE 2200ATLANTA, GA 30326-1184





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Employment 2 of 2, continued

BU.S. State/ Territory Category Status Date

IA California Investment Adviser Representative APPROVED 02/25/2021

Branch Office Locations

This individual does not have any registered Branch Office where the individual is located.







Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 3 general industry/product exams, and 1 state securities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 10/01/2018SIEB

General Securities Representative Examination 11/16/1985Series 7B

Investment Company Products/Variable Contracts RepresentativeExamination

09/28/1983Series 6B

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 08/10/1992Series 63B

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 1 professional designation(s).

Certified Financial Planner

This representative holds or did hold 1 professional designation(s) that may have been used to qualify as an Investment Advisor representative.Please check with the appropriate designation authority for verification that the designation is still in effect. The contact information for theseprofessional designation authorities can be found on the website for the North American Securities Administrators Association athttp://www.nasaa.org





http://www.nasaa.org



Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 04/2020 - 06/2020 ESSEX SECURITIES LLC 46605 Miami Lakes, FL

B 12/2010 - 11/2019 IFS SECURITIES 40375 MIAMI LAKES, FL

B 09/2008 - 12/2010 FIRST AMERICAN CAPITAL AND TRADINGCORPORATION

118812 MIAMI LAKES, FL

B 08/2002 - 09/2008 1ST DISCOUNT BROKERAGE, INC. 39164 MIAMI LAKES, FL

B 02/2002 - 08/2002 ACUMENT SECURITIES, INC. 7661 SAN FRANCISCO, CA

B 09/1995 - 02/2002 DELTA EQUITY SERVICES CORPORATION 15650 BOLTON, MA

B 11/1992 - 09/1995 SECURITIES AMERICA, INC. 10205 LAVISTA, NE

B 02/1992 - 11/1992 FIRST MONTAUK SECURITIES CORP. 13755 RED BANK, NJ

B 08/1990 - 09/1990 WORLD INVEST CORPORATION 17223 DEERFIELD BEACH, FL

B 04/1989 - 08/1990 GLOBAL INVESTOR SECURITIES, INC. 7514

B 04/1987 - 05/1989 EVENSKY, BROWN INVESTMENTS, INC. 17461

B 09/1983 - 09/1988 GUARDIAN INVESTOR SERVICESCORPORATION

6635

B 12/1985 - 04/1987 PROFILE INVESTMENTS CORPORATION 16478

B 05/1984 - 02/1986 GLOBAL INVESTOR SECURITIES, INC. 7514

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand 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.

02/2021 - Present San Blas Securities Registered Rep Y Atlanta, GA, United States







Employment History, continued

Employment Employer Name Investment RelatedPosition Employer Location

04/1990 - Present The Henderson Financial Group President Y Miami Lakes, FL, UnitedStates

12/2010 - 11/2019 INTERNATIONAL FINANCIALSOLUTIONS, INC.

BROKER /REGISTEREDREPRESENTATIVE

Y ATLANTA, GA, United States

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.

DBA NAME - THE HENDERSON FINANCIAL GROUP. HENDERSON REALTY Enterprises Corp, OWNER/BROKER, AND PRESIDENT.RHPTJManager LLC. Notinvestment-related. Started real estate career in 1979. Re-Named to Henderson Realty Enterprise (2018)Real estate sales and brokering.Business is located at 5793A NW151 STREET, MIAMI, FL 33014. Hours devoted varies and ranges from 1-10 hours monthly. Hours devoted during trading hours range from 1-10.Henderson Insurance Group (2012). Insurance brokerage business. Not investment-related.Owner and broker. located at the principal place of business. Devotes 10-40 hours monthly to this business. 10-40 hoursduring trading hours. RHPTJ Managers (2014): personal holding company. no hours devoted during trading hours. 1-4 hours devoted monthly.Address same as my place of business. non investment-related activity. Ocala LLC (2010) Holding company for rawland. No hours devoted to business during trading hours. Located at my principal place of business. 1-2 hours monthly.non investment-related activity.






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the

industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and

regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative

panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the

individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Regulatory Event 1 0 0

Criminal 0 1 0

Customer Dispute 0 8 N/A

Judgment/Lien 4 N/A N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.

Regulatory - Pending

This type of disclosure event involves a pending formal proceeding initiated by a regulatory authority (e.g., a state securities agency, self-regulatory organization, federal regulatory agency such as the Securities and Exchange Commission, foreign financial regulatory body) for allegedviolations of investment-related rules or regulations.

Disclosure 1 of 1

Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought:

Date Initiated: 12/06/2019

Docket/Case Number: 2017053462401

Employing firm when activityoccurred which led to theregulatory action:

IFS Securities

Product Type: No Product

Allegations: Henderson was named a respondent in a FINRA complaint alleging that heengaged in outside business activities without providing prior written notice to hismember firm. The complaint alleges that one of Henderson's outside businessactivities sold its last condominium unit and he received approximately 10 percentof the proceeds from that sale. Henderson failed to provide written notice to hisfirm when he received the proceeds from the sale of the condominium unit.Henderson amended his Form U4 to disclose his involvement with these businessactivities after his firm had learned of his involvement with one of them whenFINRA notified it, and after FINRA questioned Henderson concerning hisinvolvement with the other. The complaint also alleges that Henderson willfullyfailed to timely amend his Form U4 to disclose federal tax liens, totaling more than$368,000.

Current Status:9�2021 FINRA. All rights reserved. Report about Robert Henderson Jr.




https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2017053462401


Current Status: Pending

iReporting Source: Broker

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Suspension

Date Initiated: 07/08/2019

Docket/Case Number: 20170534624

Employing firm when activityoccurred which led to theregulatory action:

IFS Securities


Allegations: On July 8, 2019, FINRA made a preliminary determination to recommend thatdisciplinary action bebrought against me alleging violations of FINRA Rules 3270 and 2010 in that Iparticipated in undisclosedoutside business activities; and violations of Article V, Section 2(c) of FINRA's By-Laws and FINRA Rules 1122 and 2010 in that I willfully failed to timely amend myForm U4.

Current Status: Pending






Criminal - Final Disposition

This type of disclosure event involves a criminal charge against the broker that has resulted in a conviction, acquittal, dismissal, or plea. Thecriminal matter may pertain to any felony or certain misdemeanor offenses, including bribery, perjury, forgery, counterfeiting, extortion, fraud, andwrongful taking of property.

Disclosure 1 of 1

Reporting Source: Broker

Court Details: NASD BASED UPON FINGERPRINT INFO FROM FBIFLDEA0200

Charge Date: 05/31/1990

Charge Details: 1-RICO 2-MONEY LARCENY

Felony?

Current Status: Final

Status Date: 10/01/1992

Disposition Details:

Broker Statement I WAS ACCUSED OF BUYING AN AUTO IN MY NAME FORTHE USE OF ANOTHER PERSON WHO HAS BEEN ACCUSED OF DRUGRELATEDACTIVITIES. THE STATE SAID I SHOULD HAVE KNOWN-MY ATTORNEYFILED A MOTION FOR DISMISS-THE JUDGE AGREED AND GRANTED THEMOTION.

CASE DISMISSED






Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civil suit containing allegationsof sale practice violations against the broker that resulted in a monetary settlement to the customer.

Disclosure 1 of 5

Reporting Source: Firm

Employing firm whenactivities occurred which ledto the complaint:

Allegations:

DELTA EQUITY SERVICES CORP.

CLIENT ALLEGES THAT LOSSES IN HIS ACCOUNT WERE THE RESULT OFUNAUTHORIZED TRADING. THROUGHOUT THE HISTORY OF THE ACCOUNTTHE FIRM COMMUNICATED WITH THE CLIENT VIA LETTERS ANDTELEPHONE CALLS HOWEVER, THE CLIENT DID NOT EXPRESS ANYCONCERNS REGARDING HIS ACCOUNT.

Product Type: Options

Alleged Damages: $132,000.00

Date Complaint Received: 10/28/2002

Complaint Pending? No

Status:


Settlement Amount:

Individual ContributionAmount:

Arbitration/Reparation Claimfiled with and Docket/CaseNo.:

NASD ARBITRATION #02-06224

Date Notice/Process Served: 10/29/2001

Arbitration Pending? No

Disposition: Settled

Disposition Date: 11/11/2003

Monetary CompensationAmount:

$48,500.00

Customer Complaint Information

Arbitration Information


$1,000.00

Arbitration/Reparation







$1,000.00



Allegations:


CLIENT ALLEGED THAT LOSSES IN HIS ACCOUNT WERE THE RESULT OFUNAUTHORIZED TRADING. THROUGHOUT THE HISTORY OF THE ACCOUNTTHE FIRM COMMUNICATED WITH THE CLIENT VIA LETTERS ANDTELEPHONE CALLS. HOWEVER, THE CLIENT DID NOT EXPRESS ANYCONCERNS REGARDING HIS ACCOUNT.





Status:


Settlement Amount: $48,500.00


$1,000.00


NASD ARBITRATION #02-6224






$48,500.00




$1,000.00








$1,000.00

Disclosure 2 of 5

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Allegations:


CUSTOMERS ALLEGE UNAUTHORIZED TRADING ACTIVITY AND BREACH OFFIDUCIARY DUTIES. ALLEGATIONS ARE BASED ON ACTIVITY THATOCCURED IN THE ACCOUNT FROM OCTOBER OF 1998 THROUGH MAY OF2000.





Status:




$0.00


[CUSTOMERS] VS. DELTA EQUITY SERVICES CORP. AND ROBERT J.HENDERSON JR. NASD-DR ARBITRATION NO. 02-02225






$40,000.00




$0.00

Settled







$0.00



Allegations:


CUSTOMERS ALLEGE UNAUTHORIZED TRADING ACTIVITY AND BREACH OFFIDUCIARY DUTIES. ALLEGATIONS ARE BASED ON ACTIVITY THATOCCURED IN THE ACCOUNT FROM OCTOBER OF 1998 THROUGH MAY OF2000.





Status:




$0.00


[CUSTOMERS] VS. DELTA EQUITY SERVICES CORP. AND ROBERT J.HENDERSON, JR.NASD-DR ARBITRATION NO. 02-02225

NASD-DR ARBITRATION NO. 02-02225






$40,000.00



Arbitration/ReparationSettled







$40,000.00


$0.00

Disclosure 3 of 5

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Allegations:

DELTA EQUITY SERVICES CORP

CUSTOMERS ALLEGE UNAUTHORIZED TRADING IN ACCOUNTS,EXCESSIVE TRADING, EXCESSIVE COMMISSIONS AND SUITABILITY.


Other Product Type(s): OTC - EQUITY




Status:


Settlement Amount:



NASD #01-05597






$35,000.00










$35,000.00


$0.00



Allegations:

DELTA EQUITY SERVICES CORP

CUSTOMERS ALLEGE UNAUTHORIZED TRADING IN ACCOUNTS,EXCESSIVE TRADING, EXCESSIVE COMMISSIONS AND SUITABILITYISSUES.[CUSTOMERS] WERE REFERED TP THE HENDERSON FINANCIALGROUP BY A SATISFIED CUSTOMER IN THE YEAR OF 1999. WE ENJOYED AHEALTHY AND PROPEROUS RELATIONSHIP UNTIL THE MARKET BEGAN TOFALL IN 2000-1. THE [CUSTOMERS]' CLAIM IS TOTALLY FALSE. THEY ARESIMPLY TRYING TO BLAME US FOR THE DOWN TURN OF THE MARKET. WENEVER HAD ANY COMPLAINTS ABOUT UNAUTHORIZED TRADES BY THE[CUSTOMERS].





Status:


Settlement Amount:



NASD # 01-05597















$35,000.00


$0.00

Disclosure 4 of 5

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Allegations: CUSTOMER ALLEGES UNAUTHORIZED OPTION TRADESIN ACCOUNT THROUGH DFLTA EQUITY SERVICES CORP. ALLEGEDDAMAGESAPPROXIMATELY $40,000.

Product Type:


Date Complaint Received:


Status:


Settlement Amount:



98-03130















$10,000.00

Broker Statement CUSTOMER SETTLED FRO $10,000.[CUSTOMER] CAME TO ME AS A REFERRAL FROMANOTHER CLIENT, HIS NEPHEW, [FAMILY MEMBER]. [CUSTOMER]PRESENTED HIMSELF AS AN EXPERIENCED INVESTOR (20YRS) WHO HAD EXISTING STOCK ACCOUNTS, BUT HE WANTED TO TRADESTOCK OPTIONS. [CUSTOMER] ALLEGED CLAIMS OF UNAUTHORIZEDTRADES ARE FALSE. [CUSTOMER] AUTHORIZED EACH TRADE WITH FULLKNOWLEDGE OF MARKET CONDITIONA AND HE WAS WELL INFORMED OFTHECOMPANIES HE CHOSE TO INVEST IN. [CUSTOMER] ALLEGED THESECLAIMS AFTER EXPERIENCING PERSONAL UPHEAVAL OF A JOB LAYOFFANDDIVORCE. [CUSTOMER] UNDERSTOOD THE RISK ASSOCIATED WITH HISINVESTMENT DECISIONS. HE WAS SUITABLE FOR ALL TRADES BASED ONFINANCIAL INFORMATION DIVULGED ON APPLICATION AND TO ME. THELEGAL FEES AND EXPENSES WERE ACCRUING RAPIDLY AND I COULD NOTAFFORD TO CONTINUE WITH AN ARBITRATION/LEGAL PROCEEDINGS. ITWAS WITHIN MY BEST INTEREST FINANCIALLY TO SETTLE THIS MATTER.I FIRMLY DENY ALL ALLEGATIONS AND CLAIMS MADE BY [CUSTOMER].


Disclosure 5 of 5

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Allegations: ALLEGED UNSUITABLE TRADES

Product Type:

Alleged Damages:

Date Complaint Received:


Status:

Status Date:









Settlement Amount:



97-05710






$60,000.00

Broker Statement SETTLED FOR $60,000[CUSTOMER] LED HER DAUGHTER [CUSTOMER]AND SISTER [CUSTOMER] INTO AN ARBITRATION CASE ALLEGINGUNSUITABLE TRADES. [CUSTOMER] MISREPRESENTED HER FINANCIALPOSITION/STATUS AND AUTHORIZED EVERY TRADE IN HER ACCOUNT ASWELL AS [CUSTOMER] AND [CUSTOMER] INITIALLY, IREQUESTED THAT [CUSTOMER] TRANSFER HER ACCOUNT BECAUSE OFTHE MANNER IN WHICH SHE HAPHAZARDLY WITHDREW FUNDS FROM HERBROKERAGE ACCOUNT ([CUSTOMER] ALSO); SUBSEQUENTLY,[CUSTOMER] & [CUSTOMER]FOLLOWED SUIT. THE LEGAL FEES AND EXPENSES WERE ACCRUINGRAPIDLY AND I COULD NOT AFFORD TO CONTINUE WITH ANARBITRATION/LEGAL PRODEEDING. IT WAS WITHIN MY BEST INTERESTFINANCIALLY TO AGREE TO A SETTLEMENT. I FIRMLY DENY ALLALLEGATIONS AND CLAIMS MADE BY ALL THREE PARTIES.








Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied

This type of disclosure event involves (1) a consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practiceviolations against the individual broker that was dismissed, withdrawn, or denied; or (2) a consumer-initiated, investment-related written complaintcontaining allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, ormisappropriation, or conversion of funds or securities, which was closed without action, withdrawn, or denied.

Disclosure 1 of 3



Allegations:

1ST DISCOUNT BROKERAGE

UNSUITABLE RECOMMENDATIONS

Product Type: Equity Listed (Common & Preferred Stock)




Status:


Settlement Amount: $0.00


$0.00

Broker Statement UPON INVESTIGATING THE COMPLAINT, 1DB CONCLUDED THAT BROKER'SRECOMMENDATIONS APEPARED TO BE SUITABLE IN LIGHT OF THECLIENT'S INVESTMENT PROFILE AND OBJECTIVES.


Denied

Disclosure 2 of 3

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Allegations:

DELTA EQUITY SERVICES CORPORATION

CUSTOMER ALLEGED POOR PERFORMANCE IN HER ACCOUNT DURINGTHE PERIOD OF 6/1/2001 THROUGH 9/26/02.

Product Type: Equity Listed (Common & Preferred Stock)

$0.0021�2021 FINRA. All rights reserved. Report about Robert Henderson Jr.





Alleged Damages: $0.00



Status:


Settlement Amount:


Firm Statement CLAIM WAS DENIED. THERE WAS NO SPECIFICATION OF LOSS BY THECUSTOMER OTHER THAN THE STATEMENT OF 'POOR PERFORMANCE'.ANALYSIS OF THE CUSTOMER'S ACCOUNT SHOWS A GAIN OF $125,000DURING THIS PERIOD OF TIME AFTER ALLOWING FOR DISTRIBUTIONS ANDTRANSFER OF ASSETS.


Closed/No Action

Disclosure 3 of 3

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Allegations:

DELTA EQUITY SERVICES CORPORATION

UNSUITABLE RECOMMENDATION AND/OR MISAPPROPRIATION. ON ORABOUT MARCH 22, 2001, A DISTRIBUTION FROM THE CUSTOMER ANNUITYIN THE AMOUNT OF $105,000 WAS REQUESTED. THE COMPLAINT ALLEGESTHAT $100,000 WAS INVESTED OR USED AS COLLATERAL IN A HOTELOWNED BY THE REPRESENTATIVE.

Product Type: Annuity(ies) - Variable




Status:


Settlement Amount:


Closed/No Action






Settlement Amount:




Allegations:


UNSUITABLE RECOMMENDATION AND/OR MISAPPROPRIATION. ON ORABOUT MARCH 22, 2001, A DISTRIBUTION FROM THE CUSTOMER ANNUITYIN THE AMOUNT OF $105,000 WAS REQUESTED. THE COMPLAINT ALLEGESTHAT $100,000 WAS INVESTED OR USED AS COLLATERAL IN A HOTALOWNED BY THE REPRESENTATIVE.

Product Type: Annuity(ies) - Variable




Status:


Settlement Amount:



Closed/No Action






Judgment / Lien

This type of disclosure event involves an unsatisfied and outstanding judgments or liens against the broker.

Disclosure 1 of 4


Judgment/Lien Amount: $37,703.01

Judgment/Lien Holder: IRS

Judgment/Lien Type: Tax

Date Filed with Court: 12/10/2014

Judgment/Lien Outstanding? Yes

Resolution: Satisfied

Broker Statement IRS negotiations completed in October of 2016. I am presently on a payment planwith the IRS.

Type of Court: Federal Court

Name of Court: Tax Court

Location of Court: Miami Dade

Date Individual Learned: 12/01/2016

Disclosure 2 of 4

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Resolution: Satisfied

Broker Statement This liens is actually two separate liens. The 2011 lien in the amount of $46,809.10has been paid


Name of Court: Tax Court

Location of Court: Miami- Dade







Broker Statement This liens is actually two separate liens. The 2011 lien in the amount of $46,809.10has been paid

Disclosure 3 of 4

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Broker Statement Negotiations completed in October 2016. Installment agreement entered.


Name of Court: TAX COURT

Location of Court: BROWARD COUNTY, FL


Disclosure 4 of 4

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Broker Statement Negotiations completed in October 2016. Installment agreement entered.


Name of Court: TAX COURT

Location of Court: BROWARD COUNTY, FL







End of Report

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