JOHN MICHAEL MURPHY is currently employed as a Broker and/or Investment Adviser at HENNION & WALSH, INC. located at 777 YAMATO ROAD, SUITE 500, BOCA RATON, FL, 33431.
JOHN MICHAEL MURPHY has worked at HENNION & WALSH, INC. since December 02, 2013
Disclosure History
JOHN MICHAEL MURPHY has 4 Disclosure Event(s).
Date: October 05, 1992 Category: Regulatory
Date: May 18, 1992 Category: Customer Dispute Allegations: THE DEMAND FOR ARBITRATION DOES NOT CONTAINSPECIFIC ALLEGATIONS OF WRONGDOING BY ME OR ANY OTHERRESPONDENT, BUT IT DOES CONTAIN GENERAL ALLEGATIONS OF FRAUD,NEGLIGENT MISREPRESENTATION, INTENTIONAL MISREPRESENTATION,STATUTORY DECEIT, BREACH OF FIDUCIARY DUTY, VIOLATION OF RULE10B-5, VIOLATION OF FLORIDA CIVIL THEFT STATUTE, BREACH OFCONTRACT, NEGLIGENCE, Settlement Amount: $325,000.00 Broker Comment: RUAN SECURITIES CORPORATION PAID $325,000 TOSETTLE ALL CLAIMS, WHICH REPRESENTED 7% OF THE AMOUNT OFDAMAGES CLAIMED.I WAS BRANCH OFFICE MANAGER OF THE OFFICE INWHICH [CUSTOMER] ACCOUNT WAS OPENED. [CUSTOMER] TRADED THEACCOUNT ON HER OWN INITIATIVE AND WITHOUT ANY WRONGDOING ON MYPART (OR TO MY KNOWLEDGE BY ANY OTHER RESPONDENT). THESETTLEMENT AGREEMENT SPECIFICALLY DENIES ANY WRONGDOING ORLIABILITY BY ANY RESPONDENT. THE RESPONDENT DID NOT CONTRIBUTETO THE SETTLEMENT.
Date: June 12, 1984 Category: Regulatory
Date: November 14, 1965 Category: Criminal Charges: PETTY LARCENY $3.00 Charge Type: MISDEMEANOR Disposition: DISMISAL NO PENALTIES OR FINES ONE YEAR PROBATION Broker Comment: NOT PROVIDED
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