RICHARD WILLIAM HAWKINS is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 125 Lincoln Avenue, Suite 200, SANTA FE, NM, 87501.
RICHARD WILLIAM HAWKINS has worked at RAYMOND JAMES & ASSOCIATES, INC. since November 17, 2010
Disclosure History
RICHARD WILLIAM HAWKINS has 2 Disclosure Event(s).
Date: April 22, 2014 Category: Customer Dispute Allegations: SUITABILITY,IMPROPER STOCK SELECTION, LACK OF DIVERSIFICATION, FAILURE TO ASSESS RISK TOLERANCE 12/7/2010 - 3/25/2014 Damage Amount Requested: $200,000.00 Broker Comment: CRD LIMITATIONS WILL NOT ALLOW APPROPRIATE DATA TO BE ENTERED IN 7-11 ABOVE DUE TO CUSTOMER COMPLAINT FILED 3/28/2014 AND DENIED 4/24/2014. CASE EVOLVED INTO AN ARBITRATION ON 4/22/14, FINANCIAL ADVISOR REMOVED AS A RESPONDENT 8/5/14, "SUBJECT OF" CASE SETTLED 9/24/14.
Date: January 01, 2009 Category: Customer Dispute Allegations: CUSTOMER'S ACCOUNTS LOST VALUE DURING 2008-2009 FINANCIAL CRISIS. SHE TRANSFERRED HER ACCOUNTS AND SOLD AT THE LOWS IN MARCH 2009 CONTRARY TO MY ADVICE - NOW SHE ASKS FOR REIMBURSMENT OF LOSSES. Damage Amount Requested: $95,000.00 Settlement Amount: $38,500.00 Broker Comment: MEDIATED BY SOUTHWEST SECURITIES ON 05/05/2011. I WAS NOT PRESENT AT THE MEDITION, I DID NOT ADMIT TO ANY WRONGDOING OR LIABILITY.
More Information
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