TASHA MARIE HENDERSON is currently employed as a Broker and/or Investment Adviser at LOOP CAPITAL MARKETS LLC located at 111 WEST JACKSON BOULEVARD, SUITE 1901, CHICAGO, IL, 60604.
TASHA MARIE HENDERSON has worked at LOOP CAPITAL MARKETS LLC since June 08, 2000
TASHA MARIE HENDERSON has 1 Disclosure Event(s).
Date: November 19, 2003 Category: Regulatory Initiated By: NASD Allegations: NASD CONDUCT RULE 2110 AND SEC RULE 15C3-3 - RESPONDENT LEWIS, ACTING THROUGH MEMBER FIRM, RECEIVED FUNDS, WHICH WERE GOING TO BE REBATED TO ITS CUSTOMERS IN A COMMISSION RECAPTURE PROGRAM, BUT FAILED TO ESTABLISH AND HOLD THE FUNDS IN A SPECIAL RESERVE ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS AS REQUIRED BY SEC RULE 15C3-3. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $2,500.00 Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT LEWIS CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS FINED $2,500, JOINTLY AND SEVERALLY. Broker Comment: THE VIOLATION WAS A RESULT OF A TECHNOLOGICAL DEFICIENCY RESULTING FROM A CHANGE IN THE FIRM'S CLEARING BROKER. THE PRIOR BROKER HAD BEEN ABLE TO HANDLE THE COMMISSION RECAPTURE REBATE PROGRAM WITHOUT THE NEED FOR THE FIRM TO ESTABLISH A RESERVE BANK ACCOUNT WHILE THE NEW CLEARING BROKER CLAIMED IT COULD ALSO PROCESS SIMILARLY BUT ULTIMATELY FOUND IT COULD NOT. NO INDIVIDUAL OR ENTITY WAS HARMED OR EVER IN DANGER OF BEING HARMED AT ANY TIME. THE FIRM'S NET CAPITAL WAS 99 TIMES THE RESERVE REQUIREMENT AT ISSUE HERE. THE ENTIRE INCIDENT WAS DUE TO A SERIES OF ERRORS AND MISREPRESENTATIONS BY OUR CLEARING BROKER OVER WHICH I HAD NO CONTROL.
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