2017053462401 Robert Henderson CRD 1160413 NAC Decision jlg (2023-1675037998876).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL
FINANCIAL INDUSTRY REGULATORY AUTHORITY
In the Matter of
Department of Enforcement, Complainant, vs. Robert Henderson
Miramar, FL,
Respondent.
DECISION
Complaint No. 2017053462401
Dated: December 29, 2022
Respondent engaged in unapproved outside business activities and willfully
failed to amend timely his Form U4 to disclose four federal tax liens. Held,
findings and sanctions affirmed.
Appearances For the Complainant: Megan Davis, Esq., Michael Perkins, Esq., Kay Lackey, Esq.,