Richard Barry Haynes is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 5651 WHITESVILLE RD-THE ARBOR, SUITE 101, COLUMBUS, GA, 31904.
Richard Barry Haynes has worked at SECURITIES AMERICA, INC. since November 06, 2017
Richard Barry Haynes has 2 Disclosure Event(s).
Date: September 12, 2017 Category: Employment Separation After Allegations Firm Name: Edward Jones Termination Type: Discharged Allegations: FA did not meet his reporting obligation relating to a judgment. Not client related. Broker Comment: My discharge from Edward Jones was the result of a series of unfortunate events which were outside of my control. I do not believe that I violated any reporting requirement for FINRA or Edward Jones and that Edward Jones terminated me prior to receiving documentation which would prove that I had no judgments or liens against me that were factual and accurate. A former landlord attempted to collect $3,800 in what they alleged was past due rent. Throughout several court hearings and meetings with the former landlord's attorney, I could prove that I had paid the rent. While waiting on Western Union to provide the payee information, a judgment was filed that was subsequently released because it was in error. Edward Jones was notified by my branch administrator through their JonesLink system. At this same time Hurricane Irma adversely affected my area delaying court proceedings including releasing the judgment filed in error. Edward Jones terminated me for not providing the information within their timeline even though it was not possible based on 1) waiting on Western Union and 2) court delays because of Hurricane Irma. I, however, did notify Edward Jones through their system and it was not possible to provide them with additional information in the period they required. Therefore, I do not believe it is appropriate to say I violated investment-related statutes, regulations, rules, or industry standards of conduct.
Date: January 19, 2017 Category: Customer Dispute Allegations: The client alleges the financial advisor misrepresented the fees and charges the client would pay for the purchase of various securities. Damage Amount Requested: $5,000.00 Broker Comment: After completion of the firm's investigation into the client's allegations, the claim was denied on 2/15/2017. After completion of the firm's investigation into the client's allegations, the firm extended a settlement offer in the amount of $391.88 on March 16,2017. On May 16,2017, the firm withdrew the settlement offer after the client failed to execute and return the settlement agreement by the prescribed deadline.
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 Richard Barry Haynes, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More