Katherine Ann Henry is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 3805 MCCAIN PARK DR, STE 117, NORTH LITTLE ROCK, AR, 72116.
Katherine Ann Henry has worked at PFS INVESTMENTS INC. since January 09, 2018
Disclosure History
Katherine Ann Henry has 1 Disclosure Event(s).
Date: June 09, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE TRANSFER OF ASSETS FROM A NON-SPOUSAL BENEFICIARY IRA ACCOUNT PRODUCED AN UNEXPECTED TAX LIABILITY Damage Amount Requested: $16,957.00 Settlement Amount: $12,650.00 Broker Comment: [CUSTOMER] ALLEGED THAT THE TRANSFER OF ASSETS FROM A NON-SPOUSAL BENEFICIARY IRA ACCOUNT PRODUCED AN UNEXPECTED TAX LIABILITY. I WAS AT ALL TIMES ACTING UNDER THE ADVICE AND GUIDANCE OF [BRANCH MANAGER], WHO WAS A REGIONAL VICE PRESIDENT AND BRANCH OFFICE MANAGER OF THE PFS OFFICE IN LITTLE ROCK WHERE I WAS EMPLOYED. I WAS NOT INVOLVED IN GIVING TAX ADVICE TO [CUSTOMER]. EXPLANATORY LETTER FROM MY ATTORNEY EXPLAINING THE DETIALS ALONG WITH THE RESULTS OF THE NASD INQUIRY HAS BEEN PROVIDED TO MERRILL LYNCH OGC FOR REVIEW.
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