ALAN JOHN HENRY is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 20800 Swenson Drive, Suite 325, Waukesha, WI, 53186.
ALAN JOHN HENRY has worked at RAYMOND JAMES & ASSOCIATES, INC. since November 06, 2015
Disclosure History
ALAN JOHN HENRY has 2 Disclosure Event(s).
Date: May 02, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES THE MUTUAL FUNDS RECOMMENDED BY HER FA WE NOT APPROPRIATE FOR HER INVESTMENT OBJECTIVE AND RISK TOLERANCE. (09/27/2005-04/18/2011) Damage Amount Requested: $46,498.00 Broker Comment: THE CLIENT REALIZES THIS MATTER WAS A MISUNDERSTANDING AND THAT THE REDUCED AMOUNT RECEIVED FROM THE SALE OF HER SECURITIES WAS NOT A LOSS OF PRINCIPAL BUT WAS MOSTLY A RETURN OF HER INVESTMENT CAPITAL PAID BACK TO HER MONTHLY, SINCE THE INCEPTION OF HER INVESTMENT.
Date: October 30, 2007 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT MR. HENRY MADE INAPPROPRIATE AND UNETHICAL INVESTMENT RECOMMENDATIONS BETWEEN JULY 1999 AND SEPTEMBER 2003. Damage Amount Requested: $29,489.85 Broker Comment: I STRONGLY REFUTE THESE ALLEGATIONS AS BASELESS. ALL RECOMMENDATIONS MADE WERE APPROPRIATE BASED UPON THE CLIENTS RISK PROFILE AND RETURN OBJECTIVES. ALL DISCUSSIONS AND BUSINESS DEALINGS WERE CONDUCTED IN AN ETHICAL, COURTEOUS AND PROFESSIONAL MANNER.
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