Robert Henderson Jr., of Miami Lakes, Florida, a stockbroker currently registered with IFS Securities, has been named in a customer initiated investment related civil action on April 15, 2017, based upon allegations that Henderson breached his fiduciary and trust obligations to the customer, and additionally failed to fulfill his duties concerning the accounting of a loan arrangement.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Henderson has been named in eight additional customer initiated investment related disputes containing allegations of his misconduct while associated with Delta Equity Services Corp and 1st Discount Brokerage, Inc. Specifically, from November 10, 1998, to October 28, 2002, five customer initiated investment related disputes were resolved for a total of $203,500.00 in damages based upon allegations that Henderson, inter alia: effected unsuitable and unauthorized transactions in customers’ investment accounts; generated unwarranted commissions due to his excessive trading; and breached his fiduciary duties to customers.
Subsequently, on April 12, 2004, a customer filed an investment related written complaint involving Henderson’s conduct, wherein the customer requested $100,000.00 in damages based upon allegations that Henderson poorly advised the customer about a variable annuity contract, and misappropriated the customer’s funds for Henderson’s own personal benefit.
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