RONALD HISAO KIKAWA is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 1001 Bishop Street, Suite 2920, Honolulu, HI, 96813.
RONALD HISAO KIKAWA has worked at RAYMOND JAMES & ASSOCIATES, INC. since June 23, 2017
Disclosure History
RONALD HISAO KIKAWA has 5 Disclosure Event(s).
Date: May 27, 1987 Category: Regulatory Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Resolution: Decision & Order of Offer of Settlement SanctionDetails: Sanctions: Censure Broker Comment: I NEVER AGREED WITH THE ALLEGATIONS BUT TOOK THEADVICE OF HUTTON'S LEGAL COUNSEL AND SUBMITTED TO OFFER OFSETTLEMENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. THEVALUE OF MY TIME AND THE COST OF RETAINING OUTSIDE INDEPENDTCOUNSEL WERE PRIMARY CONSIDERATIONS.
Date: August 22, 1985 Category: Customer Dispute Allegations: MISREPRESENTATIONS, FRAUD (CHURNING), BREACHOF FIDUCIARY DUTY TO THE CLIENT, BREACH OF CONTRACT ANDNEGLIGENCE. SOUGHT GENERAL DAMAGES IN AMOUNT OF ABOUT $79,000AND PUNITIVE DAMAGES OF $1,000,000. Damage Amount Requested: $79,190.00 Settlement Amount: $25,000.00 Broker Comment: HUTTON SETTLED FOR THE ESTIMATED COST OFCONTINUING THE LITIGATION OR $25,000. I WAS NOT ASKED BY HUTTONTO PARTICIPATE IN THIS SETTLEMENT. THE CBOE WAS INFORMED OFTHIS CASE AT THE TIME OF THEIR INVESTIGATION. (RE: IN THEMATTER OF RONALD KIKAWA; FILE NO.86-0105(A).)THE CBOE FINDINGS (ITEM#3) STATED "IN FIVE (5)PUBLIC CUSTOMER ACCOUNTS". HOWEVER, THIS PROCEEDING, ALTHOUGHWAS REPORTED TO THE CBOE AT THE TIME OF THEIR INVESTIGATION, ISNOT CONSIDERED AS ONE OF THE FIVE ACCOUNTS. A COPY OF THEDECISION ACCEPTING OFFER OF SETTLEMENT (NO. 86-0105 (A)) HASBEEN PREVIOUSLY SUBMITTED.
Date: August 01, 1984 Category: Customer Dispute Allegations: Not Provided Settlement Amount: $50,000.00 Broker Comment: SETTLED FOR $50,000.PLEASE ARCHIVE. THIS WAS AN ORAL CUSTOMERCOMPLAINT. NOT A REPORTABLE EVENT.
Date: August 01, 1984 Category: Customer Dispute Allegations: Not Provided Settlement Amount: $32,500.00 Broker Comment: SETTLED FOR $32,500.PLEASE ARCHIVE. THIS WAS AN ORAL CUSTOMERCOMPLAINT. NOT A REPORTABLE EVENT.
Date: January 01, 1984 Category: Customer Dispute Allegations: Not Provided Settlement Amount: $36,000.00 Broker Comment: SETTLED FOR $15,483.00.PLEASE ARCHIVE. THIS WAS AN ORAL COMPLAINT. NOTA REPORTABLE EVENT. SEQUENT DRP#198325.
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