HARRY LITCHFIELD RUBINS is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 320 10TH ST, STE 304, SUITE 304, SANTA ROSA, CA, 95401.
HARRY LITCHFIELD RUBINS has worked at SECURITIES AMERICA, INC. since December 08, 2016
Disclosure History
HARRY LITCHFIELD RUBINS has 3 Disclosure Event(s).
Date: November 19, 2012 Category: Customer Dispute Allegations: Customer invested with representative from November 1989-April 2008. The two investments in the complaint were purchased in April 2007 before the market correction of 2008/2009.Customer moved his account to a new Broker Dealer in April 2008 without notifying the representative. He sold the no load variable annuity sometime later in 2008 at an unknown loss. If he waited until Dec 31, 2008 then the investment would have had a 1.5% gain for 2008.Customer sold the REIT in 2012 in the same year he sold his business and used the loss to offset his gain from the business. On November 19, 2012 customer filed arbitration against Representative and Foothill Securities Inc. alleging breach of Fiduciary duty, misrepresentations and omission, negligence and lack of supervision. Representative and Foothill deny the allegations. A business decision was made to settle case for $47,500. The representative contributed $23,750 to the settlement. Damage Amount Requested: $220,320.00 Settlement Amount: $47,500.00 12-03802
Date: November 30, 1990 Category: Customer Dispute Allegations: $50,000 1ST MORTGAGE ON REAL ESTATE PROPERTYWITH INTEREST DEFERRED UNTIL NOTE PAID-NEGLIGENCE, NEGLIGENTMISREPRESENTATION, FRAUD, CONSPIRACY TO DEFRAUD, CONSTRUCTIVE FRAUD, PROFESSIONAL NEGLIGENCE Damage Amount Requested: $50,000.00 Settlement Amount: $15,000.00 Broker Comment: OUT OF COURT SETTLEMENT FOR $15,000EARLY TRAINING WAS WITH GETTINS FINANCIAL(GETTINS). GETTINS APPROVED THIS INVESTMENT FOR SALE BYREPRESENTATIVES. WHEN NOTE WAS NOT PAID INCLUDING DEFFEREDINTEREST, GETTINS HELPED BRING SPONCERS TO COURT FOR FRAUD.WHEN OTHER PARTIES, INCLUDING GETTINS & THEIR PRINCIPALS, WEREFOUND TO BE INSOLVENT, CLIENTS ADDED MY NAME TO SUIT. CLIENT WAS ABLE TO TAKE OVER PROPERTY AT DEPRESSED MARKET VALUESETTLED OUT OF COURT.
Date: January 29, 1989 Category: Customer Dispute Allegations: $55,000 EQUIPMENT LEASING INVESTMENT-SALE OFUNQUALIFIED SECURITIES, FRAUD,BREACH OF CONTRACT & BREACH OFFIDUCIARY DUTY. Damage Amount Requested: $55,000.00 Settlement Amount: $35,000.00 Broker Comment: SETTLED OUT OF COURT FOR $35,000EARLY TRAINING WAS WITH GETTING FINANCIAL(GETTINS). GETTINS APPROVED THIS INVESTMENT FOR SALE BYREPRESENTATIVES. WHEN, INTEREST PAYMENTS STOPPED, GETTINSHELPED BRING SPOUCERS TO COURT FOR FRAUD. CLIENT FILED SUITAGAINST ALL PARTIES INCLUDING ME. SETTLED OUT OF COURT. ALLOTHER PARTIES WERE INSOLVENT INCLUDING GETTINS & THEIRPRINCIPALS. I ALSO INVESTED IN THIS EQUIPMENT LEASING PROGRAM.
More Information
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