Robert Henderson Jr. Allegedly Engaged in Undisclosed Outside Business Activities; Henderson Jr. Also Allegedly Willfully Failed to Timely Amend his Form U4

Robert Henderson Jr. allegedly participated in undisclosed outside business activities, according to a FINRA Investigation currently under review by investor rights attorney Alan Rosca.

The aforementioned investigation was initiated on July 8, 2019, and FINRA reportedly made a preliminary determination to recommend that disciplinary action be brought against Henderson alleging violations of FINRA Rules, the investigation notes.

Henderson also allegedly willfully failed to timely amend his Form U4, the investigation reports.

Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Robert Henderson Jr. alleged participation in undisclosed outside business activities. Investors who believe they may have lost money in activity related to Robert Henderson Jr. alleged participation in undisclosed outside business activities are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Robert Henderson Jr. the Subject of 7 Liens Dating from 2014; Henderson Jr. Has Been Registered with IFS Securities in Margate, FL since December of 2010

Robert Henderson Jr. was the subject of two judgment/liens filed on December 10, 2014, in the amount of $135,631.44 and $107,840.39, respectively, according to Henderson Jr.’s FINRA BrokerCheck Report.

Robert Henderson Jr. reportedly commented on his BrokerCheck Report that IRS negotiations were completed in October of 2016, and that he is on a payment plan with the IRS, FINRA notes.

Robert Henderson Jr. was also the subject of two more judgment/liens filed on October 23, 2014 and October 8, 2014, respectively, in the amount of $56,128.24 and $68,620.97, respectively, according to Henderson Jr.’s FINRA BrokerCheck Report.

Robert Henderson Jr. again made the comment that IRS negotiations were completed in October of 2016, and that he is on a payment plan with the IRS, FINRA notes.

Robert Henderson Jr. was also the subject of a Denied Customer Dispute which alleged unsuitable recommendations and requested damages of $24,446.00, according to Henderson Jr.’s FINRA BrokerCheck Report.

What is more, Robert Henderson Jr. allegedly engaged in unsuitable recommendations and/or misappropriation, a distribution from a customer annuity in the amount of $105,000 was requested, and it was also alleged that $100,000 was invested or used as collateral in a hotel owned by Henderson Jr., according to a Closed-No Action Customer Dispute filed on April 12, 2004.

Robert Henderson Jr. also allegedly engaged in poor performance in a customer’s account during the period of June 1, 2001 through September 26, 2002, according to a Closed-No Action Customer Dispute filed on November 7, 2002.

Robert Henderson Jr. also allegedly engaged in unauthorized trading that led to loss, and damage amounts of $132,000 were requested, and ultimately settled for $48,500, according to a Settled Customer Dispute filed on October 28, 2002.

Robert Henderson Jr. has been registered with IFS Securities in Margate, Florida since December 17, 2010, FINRA states, has 34 years in the securities industry, has 8 state licenses, and has also been registered at the following firms:

  • First American Capital & Trading Corporation, Miami Lakes, Florida— September 17, 2008 to December 31, 2010
  • 1st Discount Brokerage, Inc., Miami Lakes, Florida— August 21, 2002 to September 18, 2008
  • Acument Securities, Inc. San Francisco, California— February 15, 2002 to August 21, 2002
  • Delta Equity Services Corporation, Bolton, Massachusetts— September 13, 1995 to February 28, 2002
  • Securities America, Inc., Lavista, Nebraska— November 23, 1992 to September 14, 1995
  • First Montauk Securities Corp., Red Bank, New Jersey— February 11, 1992 to November 24, 1992
  • World Invest Corporation, Deerfield Beach, Florida— August 14, 1990 to September 21, 1990

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Robert Henderson Jr. alleged participation in undisclosed outside business activities. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Robert Henderson Jr. alleged participation in undisclosed outside business activities may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.