MICHAEL HAROLD HENRY

MICHAEL HAROLD HENRY is currently employed as a Broker and/or Investment Adviser at AMERICAN INVESTORS GROUP, INC. located at 612 Deer Crossing, Wimberley, TX, 78676.

MICHAEL HAROLD HENRY has worked at AMERICAN INVESTORS GROUP, INC. since January 22, 2018

Disclosure History

MICHAEL HAROLD HENRY has 2 Disclosure Event(s).

Date: August 12, 1998
Category: Customer Dispute
Allegations: UNSUITABLE INVESTMENTS (BONDS, LIMITED PARTNERSHIPS), FAILURE TO OBTAIN SIGNATURES.
Broker Comment: FIRM DETERMINED AGENT ACTED PROPERLY. NASD INVESTIGATION RESULTED IN NO-ACTION LETTER. FIRM HAS MADE A GOOD FAITH DETERMINATION THAT DAMAGES FROM ALLEGED CONDUCT WOULD HAVE BEEN LESS THAN $5000.

Date: March 21, 1996
Category: Regulatory
Initiated By: TEXAS STATE SECURITIES BOARD
Allegations: Not Provided
Resolution: Consent SanctionDetails:
Sanctions: Suspension Sanction Details: RESPONDENT, WHILE FORMERLY A REGISTERED AGENTWITH A REGISTERED DEALER ALLOWED AN UNREGISTERED PERSON TO COLDCALL POTENTIAL INVESTORS. THE UNREGISTERED ACTIVITY RESULTED INA SALE OF A CHURCH BOND. THE SSB GRANTED THE REGISTRATION OFTHE AGENT WITH A DIFFERENT REGISTERED DEALER, SUSPENDED THEAGENT FROM SOLICITING NEW ACCOUNTS FOR ONE DAY, PLACED THEAGENT ON PROBATION, AND REPRIMANDED THE AGENT.
Broker Comment: COLD CALLER WAS NOT PAID. HIS SERVICES WERE AS ANINTERN. NO SALES PRESENTATIONS WERE MADE BY THIS COLD CALLER.

More Information

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