RedFlags, Allegations and Complaints against ADAM DAVID HENLEY
Disclosure #1 for ADAM HENLEY
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- eventDate: 1/7/2019
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: Client alleges that after briefly discussing the possibility of generating a monthly income plan, the representative placed unauthorized trades within the client’s account which resulted in a loss to his portfolio.
- Damage Amount Requested: $106,202.16
- Arbitration Docket Number:
- Broker Comment: The client’s allegations are totally without merit. Discussions about the reallocation took place over multiple meetings and the client approved the new portfolio and the transactions. The alleged loss was not $106,000. The client’s calculation included the proceeds of the mutual fund sale and excluded the subsequent purchases. He then moved the account before any discussion or remedy.
Should I file a FINRA complaint against brokers like ADAM DAVID HENLEY?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by ADAM DAVID HENLEY’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About ADAM DAVID HENLEY
What is ADAM HENLEY’s Central Registration Depository (CRD) Number?
Which firm is ADAM DAVID HENLEY associated with?
SECURITIES AMERICA, INC.
Where is ADAM HENLEY located?
605 NORTH SHORE DRIVE, JEFFERSONVILLE, IN, 47130
Where can I find more details about ADAM HENLEY’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/10205 to read a detailed report for SECURITIES AMERICA, INC.
Are there any disclosures, allegations or complaints filed against ADAM DAVID HENLEY?
Where can I download a detailed FINRA report for ADAM HENLEY?
Is it safe to do business with ADAM DAVID HENLEY?
We’re not sure. Please research ADAM HENLEY’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:38 am
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