When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
The Arbitration primarily concerns the alleged mishandling of a request to liquidate, in March 2020, a holding in a discretionary investment advisory account managed by Mr. Henning. The Respondents PGIMC and Henning denied mishandling the request.
Settlement Amount
$475,000.00
Broker Comment
The Settlement Agreement shall be construed strictly as a compromise and settlement between the Settling Parties for the purpose of avoiding further controversy, litigation, costs, and expenses and the Settling Parties agree that nothing in this Agreement shall be construed as an admission of any liability or fault of any kind or nature whatsoever by any of the Settling Parties, any such liability being expressly denied by all Settling Parties. The case was settled to the mutual satisfaction of all parties.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.