HAROLD BARRETT RICHARDSON is currently employed as a Broker and/or Investment Adviser at INDEPENDENT FINANCIAL GROUP, LLC located at 125 EAST PEARL, SUITE 207, JACKSON, WY, 83001.
HAROLD BARRETT RICHARDSON has worked at INDEPENDENT FINANCIAL GROUP, LLC since January 02, 2013
Disclosure History
HAROLD BARRETT RICHARDSON has 3 Disclosure Event(s).
Date: April 08, 2010 Category: Customer Dispute Allegations: CLIENT CLAIMS THAT MR. RICHARDSON, AS A DIRECTOR, HAD A DUTY TO THOROUGHLY REVIEW NEW OFFERINGS AS WELL AS ESTABLISHING AND MAINTAINING A SYSTEM TO SUPERVISE ACTIVITIES. Damage Amount Requested: $93,653.29 Settlement Amount: $140,000.00 Broker Comment: MR. RICHARDSON IS NAMED ONLY AS HE IS A DIRECTOR OF THE COMPANY. AS PART OF THE SETTLEMENT AGREEMENT ALL CLAIMS AGAINST MR. RICHARDSON WERE DISMISSED.
Date: April 02, 2010 Category: Customer Dispute Allegations: CLIENT CLAIMS THAT MR. RICHARDSON, AS A DIRECTOR, HAD A DUTY TO THOROUGHLY REVIEW NEW OFFERINGS AS WELL AS ESTABLISHING AND MAINTAINING A SYSTEM TO SUPERVISE ACTIVITIES. Damage Amount Requested: $70,000.00 Settlement Amount: $140,000.00 Broker Comment: MR. RICHARDSON IS ONLY NAMED AS HE IS A DIRECTOR OF THE COMPANY. AS PART OF THE SETTLEMENT AGREEMENT ALL CLAIMS AGAINST MR. RICHARDSON WERE DISMISSED.
Date: November 03, 1986 Category: Customer Dispute Allegations: IN APPROPRIATE INVESTMENT RECOMMANDATIONMISREPRESENTATION ETC. ETC. ON ORIGINAL $50,000 INVESTMENT Damage Amount Requested: $50,000.00 Settlement Amount: $21,000.00 Broker Comment: OUT OF COURT SETTLEMENT OF $19.000.00 SAID TO[CUSTOMERS] BY E.F. HUTTON NO RESTRICTION, SUSPENSION, FOR MYSELFON DISCIPLINARY ACTION.NOT PROVIDED
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