ROBERT DONALD LEBEAU

ROBERT DONALD LEBEAU is currently employed as a Broker and/or Investment Adviser at AXIOM CAPITAL MANAGEMENT, INC. located at 950 THIRD AVENUE, 20TH FLOOR, New York, NY, 10022.

ROBERT DONALD LEBEAU has worked at AXIOM CAPITAL MANAGEMENT, INC. since June 13, 2014

Disclosure History

ROBERT DONALD LEBEAU has 2 Disclosure Event(s).

Date: August 21, 2009
Category: Customer Dispute
Allegations: TIME FRAME: MARCH 25, 2008 TO AUGUST 21, 2009THE CLIENT ALLEGES THAT HER FINANCIAL ADVISOR FORGED HER RISK TOLERANCE TO HAVE IT REFLECT AGGRESSIVE/SPECULATIVE AND MADE CERTAIN UNAUTHORIZED S&P OPTION BUY/SELL TRANSACTIONS IN CLIENT'S ACCOUNT. THE ALLEGED DAMAGES ARE IN EXCESS OF $5,000.00.
Damage Amount Requested: $5,000.00

Date: December 05, 1990
Category: Customer Dispute
Allegations: CLIENT SOUGHT SELECTIVE RECISSION OF SEVERALTRANSACTIONS. ALLEGED UNSUITABILITY - APPROX. $80,000 DAMAGES SOUGHT.
Damage Amount Requested: $80,000.00 Damages Granted: $5,788.05
Broker Comment: ARBITRATORS RENDERED A JOINT AND SEVERAL AWARDAGAINST THE RESPONDENT AND IN FAVOR OF THE CLAIMANT FOR$5,788.05. ALEX BROWN & SONS PAID $5,788.05Not Provided

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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