ROBERT GEORGE DELAUNEY

ROBERT GEORGE DELAUNEY is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 100 INTERNATIONAL DRIVE, SUITE 22000, BALTIMORE, MD, 21202.

ROBERT GEORGE DELAUNEY has worked at RAYMOND JAMES & ASSOCIATES, INC. since September 06, 2016

Disclosure History

ROBERT GEORGE DELAUNEY has 1 Disclosure Event(s).

Date: March 10, 2011
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT HIS CLIENT ADVISOR DID NOT DISCLOSE MATERIAL INFORMATION RELATING TO AIG IN CONNECTION WITH THE CLIENT'S POSITION IN AIG STOCK. ACTIVITY PERIOD 12/1/07 TO 6/1/08.
Damage Amount Requested: $600,000.00
Settlement Amount: $300,000.00
Broker Comment: THE COMPLAINT ONLY ALLEGES THAT I HAD CONSTRUCTIVE KNOWLEDGE, AS AN EMPLOYEE OF DBSI, OF THE PURPORTED MATERIAL INFORMATION RELATED TO AIG. THE COMPLAINT DOES NOT ALLEGE THAT I HAD ACTUAL KNOWLEDGE AND, IN FACT, I DID NOT KNOW ABOUT THE INFORMATION THAT WAS ALLEGEDLY NOT DISCLOSED. DBSI CHOSE TO RESOLVE THIS MATTER IN ORDER TO AVOID COSTS AND UNCERTAINTIES OF LITIGATION. THE FIRM DID NOT ASK ME TO CONTRIBUTE TO THE SETTLEMENT AMOUNT.

More Information

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

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