Robert Henderson Jr of Miami Lakes, Florida

The Florida-based, Soreide Law Group, obtained the following information from FINRA’s Disciplinary Actions, November of 2021:
The OHO issued the following decision, which has been appealed to or called for review by the NAC as of September 31, 2021. The NAC may increase, decrease, modify or reverse the findings and sanctions imposed in the decision. Initial decisions where the time for appeal has not yet expired will be reported in future FINRA Disciplinary & Other Actions.
Robert Henderson Jr (CRD #1160413, Miramar, Florida)
On September 29, 2021, Robert Henderson Jr appealed an OHO decision to the NAC. Henderson was fined $30,000 and suspended from association with any FINRA member in all capacities for 13 months.
The sanctions are based on findings that Robert Henderson Jr allegedly engaged in Outside Business Activities (OBAs) without providing written notice to his member firm.
FINRA's findings stated that Robert Henderson Jr allegedly did not disclose his OBAs when he became associated with the firm and later formed an additional company while employed with the firm that he did not disclose. FINRA alleges that Henderson represented on a FINRA Personal Activity Questionnaire that he was not engaged in any OBAs for which he was compensated. Allegedly, Henderson and his spouse both received various compensation from the businesses.
According to FINRA, Robert Henderson Jr disclosed his activities in an amended Form U4 filing after an on-the-record interview with FINRA wherein he was asked about his failure to disclose his OBAs.
FINRA’s findings also stated that Henderson allegedly failed to timely amend his Form U4 to disclose federal tax liens totaling $368,220. The sanctions are not in effect pending review.
(FINRA Case #2017053462401)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Robert Henderson Jr has been in the securities industry for 35 years and has been listed with 15 firms.  He has 14 disclosures on his FINRA CRD report, with 8 “Customer Disputes.”
Henderson has been listed as a broker with the following firm since 2/24/2021:
SAN BLAS SECURITIES LLC
5793a NW 151 st Street
Miami Lakes, FL 33014
Robert Henderson Jr has been listed as a financial advisor with the following firm since 2/25/2021:
SB ADVISORY, LLC
5793A NW 151 St.
Miami Lakes, FL 33014
If you have experienced investment losses due to the actions or recommendations of the Miami Lakes, Florida, broker/financial advisor Robert Henderson Jr, contact the South Florida-based Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at:  888-760-6552.
Soreide Law Group works on a contingency fee basis and represents our clients nationwide before FINRA.