MARK STEPHEN HENDERSON is currently employed as a Broker and/or Investment Adviser at PURSHE KAPLAN STERLING INVESTMENTS located at 2750 WILLIAM D. TATE AVE., SUITE 100, GRAPEVINE, TX, 76051.
MARK STEPHEN HENDERSON has worked at PURSHE KAPLAN STERLING INVESTMENTS since September 29, 2017
Disclosure History
MARK STEPHEN HENDERSON has 2 Disclosure Event(s).
Date: July 18, 2011 Category: Customer Dispute Allegations: VIOLATION OF STATE SECURITIES ACTS, COMMON LAW FRAUD AND NEGLIGENTMISREPRESENTATION, AIDING AND ABETTING FRAUD AND NEGLIGENT MISREPRESENTATION,VIOLATION OF THE CONSUMER PROTECTION LAWS, CONVERSION, NEGLIGENCE, FIDUCIARYBREACH, JOINT VENTURE LIABILITY. Broker Comment: MY CLIENTS HAVE SETTLED THEIR LAWSUIT AND RECOVERED DAMAGES. NPC AND I ARE NOT NAMED IN THE LAWSUIT AND I AM STILL ALL THE CLAIMANT'S INVESTMENT ADVISOR.
Date: June 17, 2011 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE UNSUITABLE SECURITIES RECOMMENDATION, COMMON LAW FRAUD, FIDUCIARY BREACH, AND NEGLIGENCE. Settlement Amount: $1,320,000.00 Broker Comment: MY CLIENTS HAVE SETTLED A CLAIM SOLELY AGAINST NPC, IN WHICH I WAS NOT NAMED. I CONTINUE TO BE THE CLIENTS' INVESTMENT ADVISOR.
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