RICHARD JOSEPH ROBINSON is currently employed as a Broker and/or Investment Adviser at PRIVATE CLIENT SERVICES, LLC located at 2225 LEXINGTON ROAD, LOUISVILLE, KY, 40206.
RICHARD JOSEPH ROBINSON has worked at PRIVATE CLIENT SERVICES, LLC since May 03, 2010
Disclosure History
RICHARD JOSEPH ROBINSON has 2 Disclosure Event(s).
Date: May 26, 2006 Category: Customer Dispute Allegations: CUSTOMER RESPONDED THAT SHE WAS UNCERTAIN TO AN AXA INITIATED INQUIRY REQUESTING INFORMATION THAT VARIOUS SIGNATURES PAPERWORK SUBMITTED TO AXA WERE HER SIGNATURES Broker Comment: CUSTOMER PROVIDED A WRITTEN STATEMENT THAT SHE HAS NOT FILED A COMPLIANT AND SHE HAS NO REASON TO BELIEVE ANY SIGNATURES OF HERS ARE NOT ORIGINALS. CUSTOMER STATED THAT SHE BELIEVES SHE HAS RECEIVED VERY GOOD ADVICE AND SERVICE FROM RICHARD ROBINSON
Date: March 22, 2006 Category: Employment Separation After Allegations Firm Name: AXA ADVISORS, LLC Termination Type: Permitted to Resign Allegations: REGISTERED REPRESENTATIVE RESIGNED WHILE UNDER INVESTIGATION FOR POSSIBLE SIGNATURE DISCREPANCIES IN CLIENT FILES. Broker Comment: MY RESIGNATION WAS INITITAED AND PERFORMED UNDER STANDARD INDUSTRY PROCEDURES FOR 18 YEARS REGISTERED REP. IT WAS BY NO MEANS ATTACHED OR DICTATED BY THE ALLEGED AXA INTERNAL INVESTEGATION I RESIGNED UNDER THE ENDORSMENT OF MY IMMEDIATE SUPERVISOR AND TO HAVE A MORE INDEPENDENT PLATFORM FOR MY CLIENTS
More Information
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 JOSEPH ROBINSON, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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 Removal
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.