robert henderson - finra · 2021. 1. 12. · robert henderson crd# 1160413 this broker is not...
TRANSCRIPT
BrokerCheck Report
Robert Henderson Jr
Section Title
Report Summary
Broker Qualifications
Registration and Employment History
Disclosure Events
CRD# 1160413
1
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
Broker Qualifications
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
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Broker Qualifications
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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Broker Qualifications
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.
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Broker Qualifications
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/.
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Broker Qualifications
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
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Registration and Employment History
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
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Registration and Employment History
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.
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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
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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.
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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
Product Type: No Product
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
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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
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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:
Status Date: 10/29/2002
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
Individual ContributionAmount:
$1,000.00
Arbitration/Reparation
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Individual ContributionAmount:
$1,000.00
iReporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
DELTA EQUITY SERVICES CORP.
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.
Product Type: Options
Alleged Damages: $132,000.00
Date Complaint Received: 10/28/2002
Complaint Pending? No
Status:
Status Date: 11/11/2003
Settlement Amount: $48,500.00
Individual ContributionAmount:
$1,000.00
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
NASD ARBITRATION #02-6224
Date Notice/Process Served: 10/28/2002
Arbitration Pending? No
Disposition: Settled
Disposition Date: 11/11/2003
Monetary CompensationAmount:
$48,500.00
Customer Complaint Information
Arbitration Information
Individual ContributionAmount:
$1,000.00
Arbitration/Reparation
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Individual ContributionAmount:
$1,000.00
Disclosure 2 of 5
i
Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
DELTA EQUITY SERVICES CORP.
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.
Product Type: Options
Alleged Damages: $116,221.00
Date Complaint Received: 05/02/2002
Complaint Pending? No
Status:
Status Date: 02/12/2004
Settlement Amount: $40,000.00
Individual ContributionAmount:
$0.00
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
[CUSTOMERS] VS. DELTA EQUITY SERVICES CORP. AND ROBERT J.HENDERSON JR. NASD-DR ARBITRATION NO. 02-02225
Date Notice/Process Served: 05/07/2002
Arbitration Pending? No
Disposition: Settled
Disposition Date: 02/12/2004
Monetary CompensationAmount:
$40,000.00
Customer Complaint Information
Arbitration Information
Individual ContributionAmount:
$0.00
Settled
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Individual ContributionAmount:
$0.00
iReporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
DELTA EQUITY SERVICES CORP.
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.
Product Type: Options
Alleged Damages: $116,221.00
Date Complaint Received: 05/02/2002
Complaint Pending? No
Status:
Status Date: 02/12/2004
Settlement Amount: $40,000.00
Individual ContributionAmount:
$0.00
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
[CUSTOMERS] VS. DELTA EQUITY SERVICES CORP. AND ROBERT J.HENDERSON, JR.NASD-DR ARBITRATION NO. 02-02225
NASD-DR ARBITRATION NO. 02-02225
Date Notice/Process Served: 05/07/2002
Arbitration Pending? No
Disposition: Settled
Disposition Date: 02/12/2004
Monetary CompensationAmount:
$40,000.00
Customer Complaint Information
Arbitration Information
Arbitration/ReparationSettled
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Monetary CompensationAmount:
$40,000.00
Individual ContributionAmount:
$0.00
Disclosure 3 of 5
i
Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
DELTA EQUITY SERVICES CORP
CUSTOMERS ALLEGE UNAUTHORIZED TRADING IN ACCOUNTS,EXCESSIVE TRADING, EXCESSIVE COMMISSIONS AND SUITABILITY.
Product Type: Options
Other Product Type(s): OTC - EQUITY
Alleged Damages: $75,000.00
Date Complaint Received: 10/30/2001
Complaint Pending? No
Status:
Status Date: 10/16/2001
Settlement Amount:
Individual ContributionAmount:
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
NASD #01-05597
Date Notice/Process Served: 10/16/2001
Arbitration Pending? No
Disposition: Settled
Disposition Date: 12/27/2002
Monetary CompensationAmount:
$35,000.00
Customer Complaint Information
Arbitration Information
Arbitration/Reparation
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Monetary CompensationAmount:
$35,000.00
Individual ContributionAmount:
$0.00
iReporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
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].
Product Type: No Product
Alleged Damages: $75,000.00
Date Complaint Received: 10/30/2001
Complaint Pending? No
Status:
Status Date: 10/16/2001
Settlement Amount:
Individual ContributionAmount:
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
NASD # 01-05597
Date Notice/Process Served: 10/16/2001
Arbitration Pending? No
Disposition: Settled
Customer Complaint Information
Arbitration Information
Arbitration/Reparation
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Disposition: Settled
Disposition Date: 12/27/2002
Monetary CompensationAmount:
$35,000.00
Individual ContributionAmount:
$0.00
Disclosure 4 of 5
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Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations: CUSTOMER ALLEGES UNAUTHORIZED OPTION TRADESIN ACCOUNT THROUGH DFLTA EQUITY SERVICES CORP. ALLEGEDDAMAGESAPPROXIMATELY $40,000.
Product Type:
Alleged Damages: $40,000.00
Date Complaint Received:
Complaint Pending? No
Status:
Status Date: 01/01/1999
Settlement Amount:
Individual ContributionAmount:
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
98-03130
Date Notice/Process Served: 08/20/1998
Arbitration Pending? No
Disposition: Settled
Disposition Date: 01/01/1999
Customer Complaint Information
Arbitration Information
Arbitration/Reparation
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Disposition Date: 01/01/1999
Monetary CompensationAmount:
$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].
Individual ContributionAmount:
Disclosure 5 of 5
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Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations: ALLEGED UNSUITABLE TRADES
Product Type:
Alleged Damages:
Date Complaint Received:
Complaint Pending? No
Status:
Status Date:
Customer Complaint Information
Arbitration/Reparation
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Status Date: 11/10/1998
Settlement Amount:
Individual ContributionAmount:
Arbitration/Reparation Claimfiled with and Docket/CaseNo.:
97-05710
Date Notice/Process Served: 12/03/1997
Arbitration Pending? No
Disposition: Settled
Disposition Date: 11/10/1998
Monetary CompensationAmount:
$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.
Arbitration Information
Individual ContributionAmount:
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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
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
1ST DISCOUNT BROKERAGE
UNSUITABLE RECOMMENDATIONS
Product Type: Equity Listed (Common & Preferred Stock)
Alleged Damages: $24,446.00
Date Complaint Received: 01/12/2008
Complaint Pending? No
Status:
Status Date: 01/18/2008
Settlement Amount: $0.00
Individual ContributionAmount:
$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.
Customer Complaint Information
Denied
Disclosure 2 of 3
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Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
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.
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Alleged Damages: $0.00
Date Complaint Received: 11/07/2002
Complaint Pending? No
Status:
Status Date: 12/12/2002
Settlement Amount:
Individual ContributionAmount:
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.
Customer Complaint Information
Closed/No Action
Disclosure 3 of 3
i
Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
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
Alleged Damages: $100,000.00
Date Complaint Received: 04/12/2004
Complaint Pending? No
Status:
Status Date: 09/02/2004
Settlement Amount:
Customer Complaint Information
Closed/No Action
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Settlement Amount:
Individual ContributionAmount:
iReporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
DELTA EQUITY SERVICES CORP.
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
Alleged Damages: $100,000.00
Date Complaint Received: 04/12/2004
Complaint Pending? No
Status:
Status Date: 09/02/2004
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Closed/No Action
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Judgment / Lien
This type of disclosure event involves an unsatisfied and outstanding judgments or liens against the broker.
Disclosure 1 of 4
Reporting Source: Broker
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
i
Reporting Source: Broker
Judgment/Lien Amount: $135,631.44
Judgment/Lien Holder: IRS
Judgment/Lien Type: Tax
Date Filed with Court: 12/10/2014
Judgment/Lien Outstanding? Yes
Resolution: Satisfied
Broker Statement This liens is actually two separate liens. The 2011 lien in the amount of $46,809.10has been paid
Type of Court: Federal Court
Name of Court: Tax Court
Location of Court: Miami- Dade
Date Individual Learned: 12/01/2016
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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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Reporting Source: Broker
Judgment/Lien Amount: $144,163.74
Judgment/Lien Holder: IRS
Judgment/Lien Type: Tax
Date Filed with Court: 05/21/2014
Judgment/Lien Outstanding? Yes
Broker Statement Negotiations completed in October 2016. Installment agreement entered.
Type of Court: Federal Court
Name of Court: TAX COURT
Location of Court: BROWARD COUNTY, FL
Date Individual Learned: 06/25/2014
Disclosure 4 of 4
i
Reporting Source: Broker
Judgment/Lien Amount: $380,253.70
Judgment/Lien Holder: IRS
Judgment/Lien Type: Tax
Date Filed with Court: 06/11/2014
Judgment/Lien Outstanding? Yes
Broker Statement Negotiations completed in October 2016. Installment agreement entered.
Type of Court: Federal Court
Name of Court: TAX COURT
Location of Court: BROWARD COUNTY, FL
Date Individual Learned: 06/25/2014
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