Richard Barry Haynes

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

Disclosure History

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.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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