Articles Tagged with omissions

Maria Hendershott (CRD#: 818681), a registered representative with Raymond James & Associates in Houston, Texas, is currently engaged in a customer dispute in which a client alleges “unsuitable investments, misrepresentations and omissions, [and] overconcentration,” among other allegations, according to her BrokerCheck report accessed on October 3, 2019. The client, who filed the complaint on August 5, 2019, is seeking $175,000 in damages. This is not the only disclosure on Maria Hendershott’s BrokerCheck record. This is an update to our previous article on Maria Hendershott.

Maria Hendershott
To review, one of Maria Hendershott’s clients filed a complaint on November 27, 2018, alleging that she engaged in “breach of contract and warranties, promissory estoppel, [and violated] provisions of the Texas state securities statues,” among other allegations. The client originally requested $500,000 in damages, but the matter was settled for $55,000.

On October 3, 2017, a client alleged “gross mismanagement of accounts, investor abuse, churning, breach of fiduciary duty, negligence, [and] violation of industry rules.” The client requested $100,000 in damages, but the matter was settled for $75,000.

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