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
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