LAWRENCE KINNAIRD HENSHAW

LAWRENCE KINNAIRD HENSHAW is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 500 108TH AVENUE NE, SUITE 2100, BELLEVUE, WA, 98004.

LAWRENCE KINNAIRD HENSHAW has worked at OPPENHEIMER & CO. INC. since May 22, 2009

Disclosure History

LAWRENCE KINNAIRD HENSHAW has 1 Disclosure Event(s).

Date: December 13, 1982
Category: Customer Dispute
Damage Amount Requested: $13,000.00
Settlement Amount: $11,000.00
Broker Comment: HENSHAW IS CURRENTLY THE SUBJECT OF A CIVILCOMPLAINT. THE COMPLAINT WAS FILED IN THE SUPERIOR COURT OF THESTATE OF WASHINGTON FOR THE COUNTY OF KING: [CUSTOMER],PLAINTIFF VS. FOSTER & MARSHALL, INC., LAWRENCE HENSHAW AND JANEDOE HENSHAW, DEFENDANTS. THE COMPLAINT WAS FILED ON 12/13/82 ANDALLEGES THE FOLLOWING: HENSHAW CHURNED THE COMPLAINANT'SACCOUNT, PURCHASED SPECULATIVE AND UNSUITABLE SECURITIES, FAILEDTO PRESERVE THE INVESTMENT NATURE, CHARACTER AND VALUE OF [CUSTOMER'S] ACCOUNT, UTILIZED A MARGIN ACCOUNT AND CAUSING [CUSTOMER] TO INCUR SUBSTANTIAL INTEREST CHARGES AND FALSELYMISLEADING AND LULLING HIM AS TO THE QUALITY OF THE INVESTMENTSERVICES PROVIDED AND THE TRUE NATURE OF HIS ACCOUNT ACITIVITY.THE PLAINTIFF DEMANDED DAMAGES IN THE AMOUNT OF $13,000.00. THECASE IS PENDING. THESETTLEMENT AGREEMENT AND RELATED STIPULATION AND ORDER OFDISMISSAL OF THE ABOVE-REFERENCED CIVIL PROCEEDING. THESETTLEMENT AGREEMENT, SIGNED AND DATED JULY 2, 1984, STATES THAT[CUSTOMER] AGREES TO KEEP SECRET AND STRICTLY CONFIDENTIAL, THETERMS OF THE AGREEMENT; THAT THE AGREEMENT DOES NOT CONSTITUTEAN ADMISSION OF LIABILITY ON THE PART OF ANY DEFENDANT; AND THATWITH THE EXECUTION OF THE AGREEMENT, FOSTER & MARSHALL/AMERICANEXPRESS, INC. SHALL PAY $6,000 TO [CUSTOMER] AND PAINE WEBBER SHALLPAY $5,000 TO [CUSTOMER]. THE PROCEEDING WAS DISMISSED VIA COURTORDER SIGNED AND DATED JUNE 22, 1984.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for LAWRENCE KINNAIRD HENSHAW, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.