RENE W HENRIKSEN is currently employed as a Broker and/or Investment Adviser at FIRST REPUBLIC SECURITIES COMPANY, LLC located at 111 PINE STREET, Tucson, AZ, 94111.
RENE W HENRIKSEN has worked at FIRST REPUBLIC SECURITIES COMPANY, LLC since January 22, 2016
Disclosure History
RENE W HENRIKSEN has 6 Disclosure Event(s).
Date: April 05, 2017 Category: Customer Dispute Allegations: Client alleged unauthorized purchase of a security in his account. Damage Amount Requested: $92,973.50
Date: September 17, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE RISK OF THE OPTIONS TRADING STRATEGY UTILIZED BY HIS CLIENT ADVISOR WAS MISREPRESENTED TO HIM Settlement Amount: $75,000.00
Date: May 27, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES FAILURE TO FOLLOW INSTRUCTIONS AND IMPLEMENT CONSERVATIVE INVESTMENT STRATEGY. ACTIVITY PERIOD WAS FROM JUNE 2005, TO FEBRUARY, 2009.
Date: February 26, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES INVESTMENT WAS MISREPRESENTED AND UNSUITABLE. Damage Amount Requested: $514,000.00 Settlement Amount: $470,000.00
Date: August 04, 1999 Category: Employment Separation After Allegations Firm Name: DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION Termination Type: Discharged Allegations: VIOLATION OF FIRM POLICY BY FAILING TO DISCLOSE A LOAN OBTAINED FROM A CUSTOMER. Broker Comment: THE FIRM HAS RECEIVED A LETTER FROM THE LAW FIRM REPRESENTING [CUSTOMERS'], WHO HAD A JOINT ACCOUNT SERVICED BY MR. HENRIKSEN. THIS LETTER ALLEGES THAT THE [CUSTOMERS'] WERE DAMAGED DUE TO UNSUITABLE TRANSACTIONS INCLUDING THE USE OF MARGIN. IN ADDITION, THE LETTER SETS FORTH INFORMATION CONCERNING A LOAN OF $30,000 MADE BY THE [CUSTOMERS'] TO MR. HENRIKSEN.
Date: December 11, 1998 Category: Customer Dispute Allegations: MISREPRESENTATION AND FAILURE TO DIVERSIFYPOSITION IN U.S. FILTER; ALLEGED UNSPECIFIED DAMAGES IN EXCESSOF $750,000. Damage Amount Requested: $750,000.00 Damages Granted: $50,000.00
More Information
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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.
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