ROBERT HOWARD HUTCHINS is currently employed as a Broker and/or Investment Adviser at D.A. DAVIDSON & CO. located at 3210 HILLCREST PARK DRIVE, SUITE 200, MEDFORD, OR, 97504.
ROBERT HOWARD HUTCHINS has worked at D.A. DAVIDSON & CO. since September 09, 2009
Disclosure History
ROBERT HOWARD HUTCHINS has 5 Disclosure Event(s).
Date: October 27, 2008 Category: Customer Dispute Allegations: THE CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENT GUIDELINES - 04/10/2008.DAMAGES UNSPECIFIED. Settlement Amount: $5,000.00
Date: May 07, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT THE BROKER DID NOT PROPERLY EXPLAIN THE IMPLICATIONS OF THE CONVERSION OF HER IRA TO A ROTH IRA, AND THAT IT WAS AN INAPPROPRIATE STRATEGY FOR HER. SHE ALLEGED THAT SHE INCURRED A $5800 TAX LIABILITY AS A RESULT OF THE CONVERSION. TIME PERIOD INVOLVED-MARCH 2000. Damage Amount Requested: $5,800.00 Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: April 15, 1988 Category: Customer Dispute Allegations: UNSUITABLE FOR HER INVESTMENT Damages Granted: $9,079.00 Broker Comment: RESPONDENTS WRIGHT, HUTCHINS AND SHEARSON LEHMAN BROTHERS INC. ARE JOINTLY AND SEVERALLY LIABLE FOR AND SHALL PAY TO THE CLAIMANT THE SUM OF $9,079.00; THAT SHEARSON LEHMAN BROTHERS INC. IS SOLELY LIABLE FOR AND SHALL PAY CLAIMANT THE AMOUNT OF $200.00 FOR ATTORNEYS FEES; THAT CLAIMANT'S CLAIM FOR PUNITIVE DAMAGES IS DISMISSED; AND THAT THE NASD SHALL REFUND THE $200.00 FILING FEE PREVIOUSLY DEPOSITED BY THE CLAIMANT.
Date: December 09, 1987 Category: Customer Dispute Allegations: THE [CUSTOMERS] ALLEGED THAT THE RESPONDENTS RECOMMENDED UNSUITABLE INVESTMENTS AND FAILED TO DISCLOSE THE RISKS ASSOCIATED WITH CERTAIN INVESTMENTS. Damage Amount Requested: $85,000.00 Damages Granted: $26,000.00 Broker Comment: AFTER A HEARING, THE NASD RENDERED AN ARBITRATION AWARD IN THE AMOUNT OF $26,000 IN FAVOR OF THE CLAIMANTS, AND AGAINST SHEARSON LEHMAN BROTHERS INC., CHARLES DUQUETTE AND ROBERT HUTCHINS.
Date: August 01, 1983 Category: Customer Dispute Allegations: BREACH OF CONTRACT. ALLEGED AMOUNT -$197,813.00 Damage Amount Requested: $197,813.00 Broker Comment: AMOUNT AWARDED WAS $197,813.00. MR. HUTCHINS PAID$40,625.00 OF THE SETTLEMENT.
More Information
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